FINRA definition

FINRA means the Financial Industry Regulatory Authority, Inc.

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FINRA means the Financial Industry Regulatory Authority, Inc., or any other self-regulatory body which succeeds to the functions of the Financial Industry Regulatory Authority, Inc.

FINRA means the United States Financial Industry Regulatory Authority.

Examples of FINRA in a sentence

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In the event the Company intends to register as a broker/dealer, merge with or acquire a registered broker/dealer, or otherwise become a member of FINRA, it shall promptly notify FINRA.
By the Effective Date, the Underwriters shall have received a letter of no objections from FINRA as to the terms and arrangement and amount of compensation allowable or payable to the Underwriters as described in the Registration Statement.
THE SECURITIES REPRESENTED HEREBY MAY NOT BE SOLD, TRANSFERRED, ASSIGNED, PLEDGED, OR HYPOTHECATED, OR BE THE SUBJECT OF ANY HEDGING, SHORT SALE, DERIVATIVE, PUT, OR CALL TRANSACTION THAT WOULD RESULT IN THE EFFECTIVE ECONOMIC DISPOSITION OF SUCH SECURITIES BY ANY PERSON FOR A PERIOD OF TIME ENDING 180 DAYS (PURSUANT TO RULE 5110(E)(1) OF THE CONDUCT RULES OF FINRA) FOLLOWING THE DATE OF THE COMMENCEMENT OF SALES IN THE PUBLIC OFFERING OF THE COMPANY’S SECURITIES PURSUANT TO REGISTRATION STATEMENT NO.
Any such termination shall be without liability of any party to any other party except that the provisions of Section 9 (Payment of Expenses), Section 11 (Indemnification and Contribution), Section 12 (Representations and Agreements to Survive Delivery), Section 14 (Notices), Section 18 (Governing Law and Time; Waiver of Jury Trial), Section 19 (Waiver of FINRA Arbitration) and Section 20 (Consent to Jurisdiction) hereof shall remain in full force and effect notwithstanding such termination.

More Definitions of FINRA

FINRA means the Financial Industry Regulatory Authority or a succeeding agency.

FINRA shall have the meaning ascribed to such term in Section 3.1(e).

FINRA has the meaning set forth in Section 3(i).

FINRA means the Financial Industry Regulatory Authority, Inc. GAAP means generally accepted accounting principles as in effect in the United States of America from time to time.

FINRA shall have the meaning set forth in Section 5(n).

FINRA has the meaning set forth in Section 2(s).

FINRA shall have the meaning assigned thereto in Section 3(e)(xix) hereof.