FINRA definition

FINRA means the Financial Industry Regulatory Authority, Inc.

FINRA means the Financial Industry Regulatory Authority.

FINRA means the Financial Industry Regulatory Authority or any successor.

Examples of FINRA in a sentence

• Each party shall cooperate with each other party and all appropriate government authorities (including without limitation the SEC, FINRA and state securities and insurance regulators) and shall permit such authorities having jurisdiction reasonable access to its books and records in connection with any investigation or inquiry relating to this Agreement or the transactions contemplated hereby.

• Dated: Name: Please Print Address: (Insert Social Security or Other Identifying Number of Holder) Signature Guaranteed: Signature (Signature must conform in all respects to name of holder as specified on the face of this Warrant Certificate and must bear a signature guarantee by a FINRA member firm).

• Each party shall cooperate with each other party and all appropriate governmental authorities (including without limitation the SEC, FINRA and state insurance regulators) and shall permit such authorities reasonable access to its books and records in connection with any investigation, examination or inquiry relating to this Agreement or the transactions contemplated hereby.

• None of the net proceeds of the Offering will be paid by the Company to any participating FINRA member or its affiliates, except as specifically authorized herein.

• In accordance with FINRA Rule 2711(e), the parties acknowledge and agree that the Placement Agent has not directly or indirectly offered favorable research, a specific rating or a specific price target, or threatened to change research, a rating or a price target, to the Company or inducement for the receipt of business or compensation.

More Definitions of FINRA

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

FINRA means the Financial Industry Regulatory Authority or any successor agency thereto.

FINRA means the Financial Industry Regulatory Authority of the United States;

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

FINRA means the U.S. Financial Industry Regulatory Authority.

FINRA. Financial Industry Regulatory Authority, Inc.

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.