Qualified Independent Underwriter definition

Qualified Independent Underwriter means a “qualified independent underwriter” within the meaning of FINRA Rule 5121.

Qualified Independent Underwriter shall have the meaning assigned to such term in FINRA Rule 5121(f)(12).

Qualified Independent Underwriter means a “qualified independent underwriter” within the meaning of NASD Conduct Rule 2720.

Examples of Qualified Independent Underwriter in a sentence

• If the Investor reasonably determines that a Qualified Independent Underwriter must participate in the transactions contemplated by the Transaction Documents in order for such transactions to be in full compliance with FINRA’s rules, the Company and the Investor shall have executed such documentation as may reasonably be required to engage a Qualified Independent Underwriter to participate in such transactions.

• CHARDAN CAPITAL MARKETS, LLC, as Representative of the several Underwriters By: Name: Title: [●], as Qualified Independent Underwriter By: Name: Title: [Signature Page of the Underwriting Agreement] SCHEDULE A CHARDAN NEXTECH ACQUISITION 2 CORP.

• Roth hereby consents to being named in the Registration Statement and Xxxspectus as having acted as a "Qualified Independent Underwriter" solely for the purposes of Rule 2720 referenced herein.

• FBW hereby confirms its agreement to act in connection with the Offering as a "Qualified Independent Underwriter" within the meaning of Rule 2720 of the NASD Conduct Rules and represents that FBW satisfies or will satisfy at the times designated in Rule 2720(b)(15) the requirements set forth therein.

• FBW's obligation to act as a Qualified Independent Underwriter hereunder shall terminate if the Company shall breach in any material respect any representation, warranty or covenant hereunder and such breach shall not be cured within ten days of written notice thereof to the Company.

More Definitions of Qualified Independent Underwriter

Qualified Independent Underwriter means, in respect of the distribution of securities of a Dealer Member corporation or a holding company of a Dealer Member corporation, a securities firm which is a member of a self-regulatory organization, and:

Qualified Independent Underwriter means an underwriter meeting the requirements of Section 2(1) of Schedule E to the NASD By-Laws as the same may be amended from time to time.

Qualified Independent Underwriter that is required to be retained in accordance with the rules and regulations of the NASD;

Qualified Independent Underwriter means for a distribution of a Dealer Member’s securities or its holding company’s securities, a securities firm that is a self-regulatory organization member and:

Qualified Independent Underwriter means a “qualified independent underwriter” within the meaning of NASD Conduct Rule 2720. “Records” has the meaning ascribed to such term in S ection 2.4(k).

Qualified Independent Underwriter means a qualified independent underwriter as defined under FINRA Rule 5121, and which means a securities firm that does not have a conflict of interest and that has agreed, in acting as a qualified independent underwriter, to undertake the legal responsibilities and liabilities of an underwriter under the Securities Act, specifically including those inherent in Section 11 thereof.

Qualified Independent Underwriter means a “qualified independent underwriter” within the meaning of FINRA Rule 5121. “Registrable Securities” means (a) any shares of Common Stock held by the Holders at any time (including those held as a result of, or issuable upon, the conversion or exercise of Common Stock Equivalents), whether now owned or acquired by the Holders at a later time, (b) any shares of Common Stock issued or issuable, directly or indirectly, in exchange f or or with respect to the Common Stock referenced in clause (a) above by way of stock dividend, stock split or combination of shares in connection with a reclassification, recapitalization, merger, share exchange, consolidation or other reorganization and (c) any securities issued in replacement of or exchange for any securities described in clause (a) or (b) above. As to any particular Registrable Securities, such securities shall cease to be Registrable Securities when (A) a registration statement with respect to the sale of such securities shall have been declared effective under the Securities Act and such securities shall have been disposed of in accordance with such registration statement, (B) such securities are able to be immediately sold pursuant to Rule 144 without restrictions as to volume limitations and (C) such securities are otherwise transferred or sold, the Company has delivered a new certificate or other evidence of ownership for such securities not bearing a legend and such securities may be resold without subsequent registration under the Securities Act. “Rule 144” and “Rule 144A” have the meaning ascribed to such term in Section 3.1. “SEC” means the Securities and Exchange Commission or such other federal agency which at such time administers the Securities Act. “Section 3.13 Representatives” has the meaning ascribed to such term in Section 3.13(b). “Securities Act” means the Securities Act of 1933, as amended, and the rules and regulations of the SEC issued under such Act, as they may from time to time be in effect. “Shelf Offering” has the meaning ascribed to such term in Section 2.1(c)(ii). “Shelf Registration Statement” means a shelf registration statement filed under Rule 415 of the Securities Act. “Short Form Registrations” has the meaning ascribed to such term in Section 2.1(a). “Subsidiary” means any direct or indirect subsidiary of the Company on the date hereof and any direct or indirect subsidiary of the Company organized or acquired after the date hereof.