Related Questions. 1. Are you (i) a “member” of the Financial Industries Regulatory Authority, Inc. (“FINRA”), (ii) an “affiliate” of a member of FINRA, (iii) a “person associated with a member” or “associated person of a member” of FINRA or (iv) associated with an “underwriter or related person” with respect to the proposed public offering of the Company’s securities? Yes No For the sole purpose of this Question: (i) FINRA generally defines a “member” to include any broker or dealer admitted to membership in FINRA or any officer or partner of such a member or the executive representative of such member or the substitute for such representative; (ii) the term “affiliate” means a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is in common control with the person specified. Persons who have acted or are acting on behalf or for the benefit of a person include, but are not necessarily limited to, directors, officers, employees, agents, consultants and sales representatives; (iii) FINRA generally defines a “person associated with a member” or “associated person of a member” to include every sole proprietor, partner, officer, director or branch manager of any member, or any natural person occupying a similar status or performing similar functions, or any natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by such member (for example, any employee), whether or not any such person is registered or exempt from registration with FINRA; and (iv) the term “underwriter or related person” includes, with respect to a proposed offering, underwriters, underwriters’ counsel, financial consultants and advisers, finders, members of the selling or distribution group, and any and all other persons associated with or related to any such persons. If yes, kindly describe such relationship (whether direct or indirect) and please respond to Questions (2) and (3) below; if no, please proceed to Question (4).
Related Questions. At What Age Can a Child be Left Alone? There is no specific age provided by law. The good judgment of the parent or guardian is most important. Generally speaking, there are three factors that must be considered: the maturity of the child, the environment provided for the child, and how long the child will be unattended. The best advice is to err on the side of caution, safety, and the best interest of the child. As a guideline, it is also advisable to be extra cautious with children younger than 10 years of age. If in doubt it would be wise to call the Department of Human Services, Child Welfare: (000) 000-0000. Ideally, if a child must be left alone for a short period of time, a neighbor should be available to periodically check in on the child. Parents should also make regular phone calls to check on the child. It is not advisable to leave any child unattended for an extended period of time. Some laws pertaining to leaving children at home alone: Abandonment of a child: It is considered “abandonment of a child” if a parent or guardian of a child under 15 years of age deserts their child in any place with intent to abandon him or her. Abandonment is a felony crime, (ORS 163.535).
