Regulation Best Interest Sample Clauses

Regulation Best Interest. The Company and the Selling Shareholder acknowledge that in connection with the offering of the Offered Securities none of the activities of the Underwriters in connection with the transactions contemplated herein constitutes a recommendation, investment advice, or solicitation of any action by the Underwriters with respect to any entity or natural person.
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Regulation Best Interest. I UNDERSTAND THAT PURSUANT TO THE SEC’S REGULATION BEST INTEREST, YOU AND/OR MY FINANCIAL PROFESSIONAL MUST PROVIDE ME WITH A COPY OF YOUR REGULATION BEST INTEREST DISCLOSURE AND FORM CRS CUSTOMER RELATIONSHIP SUMMARY PRIOR TO OR AT THE SAME TIME I RECEIVE A RECOMMENDATION TO TRANSACT SECURITIES OR STRATEGIES INVOLVING SECURITIES, RECOMMENDATIONS OF ACCOUNT TYPE (ADVISORY VS BROKERAGE) OR WHEN CHANGING CERTAIN EXISTING FEATURES ON AN EXISTING ACCOUNT, AND RECOMMENDATION THAT I ROLLOVER RETIREMENT PLAN ASSETS FROM MY EMPLOYER-SPONSORED RETIREMENT PLAN TO AN IRA ACCOUNT HELD WITH YOU. I UNDERSTAND THAT BY SIGNING THE NEW ACCOUNT APPLICATION I AM ATTESTING THAT THESE DISCLOSURES WERE DELIVERED TO ME AS REQUIRED.
Regulation Best Interest. The Selling Stockholder further acknowledges and agrees that, although the Underwriters may provide the Selling Stockholder with certain Regulation Best Interest and Form CRS disclosures or other related documentation in connection with the Offering, the Underwriters are not making a recommendation to the Selling Stockholder to participate in the Offering, enter into a “lock-up” agreement, or sell any Stock at the purchase price per share determined in the Offering, and nothing set forth in such disclosures or documentation is intended to suggest that any Underwriter is making such a recommendation.
Regulation Best Interest. The Selling Shareholder further acknowledge and agree that, although the Representatives may provide the Selling Shareholder with certain Regulation Best Interest and Form CRS disclosures or other related documentation in connection with the offering, the Representatives are not making a recommendation to the Selling Shareholder to participate in the offering or sell any Ordinary Shares or ADSs at the purchase price, and nothing set forth in such disclosures or documentation is intended to suggest that any Representative is making such a recommendation.
Regulation Best Interest. Although the Underwriter may be required or choose to provide certain Selling Stockholders with certain Regulation Best Interest and Form CRS disclosures in connection with the offering, the Underwriter is not making a recommendation to any Selling Stockholder to participate in the offering or sell any Offered Securities at the price determined in the offering, and nothing set forth in such disclosures is intended to suggest that the Underwriter is making such a recommendation.
Regulation Best Interest. I understand that pursuant to the SEC’s Regulation Best Interest, you and/or my financial professional must provide me with a copy of your Regulation Best Interest disclosure and Form CRS Customer Relationship Summary prior to or at the same time I receive a recommendation to transact securities or strategies involving securities, recommendations of account type (advisory vs brokerage) or when changing certain existing features on an existing account, and recommendation that I rollover retirement plan assets from my employer-sponsored retirement plan to an IRA account held with you. I understand that by signing the new account application I am attesting that these disclosures were delivered to me as required.

Related to Regulation Best Interest

  • Federal Reserve Regulations (a) None of Holdings, the Borrower or any of the Subsidiaries is engaged principally, or as one of its important activities, in the business of extending credit for the purpose of buying or carrying Margin Stock.

  • Regulation The Sub-Advisor shall submit to all regulatory and administrative bodies having jurisdiction over the services provided pursuant to this Agreement any information, reports or other material which any such body may request or require pursuant to applicable laws and regulations.

  • Regulation D Offering Subscriber represents that it is an “accredited investor” as such term is defined in Rule 501(a) of Regulation D under the Securities Act of 1933, as amended (the “Securities Act”) and acknowledges the sale contemplated hereby is being made in reliance on a private placement exemption to “accredited investors” within the meaning of Section 501(a) of Regulation D under the Securities Act or similar exemptions under state law.

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