Qualified Independent Underwriter definition

Qualified Independent Underwriter means a “qualified independent underwriter” within the meaning of FINRA Rule 5121.
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Qualified Independent Underwriter shall have the meaning assigned to such term in FINRA Rule 5121(f)(12).
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Qualified Independent Underwriter means a “qualified independent underwriter” within the meaning of NASD Conduct Rule 2720.
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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.

  • Public offerings of securities in which a member with a conflict of interest participates are regulated by NASD rule 2720, which requires the intervention of a Qualified Independent Underwriter to minimize such conflicts.

  • If the Investor reasonably determines that a Qualified Independent Underwriter (as defined in the rules disseminated by FINRA) 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 customary documentation as may reasonably be required to engage a Qualified Independent Underwriter to participate in such transactions.

  • INC.as Qualified Independent Underwriter By: /s/ Steven Kaplan Name: Steven KaplanTitle: Head of Capital Markets [Signature Page to Underwriting Agreement, dated November 20, 2020] SCHEDULE A LIFESCI ACQUISITION II CORP.

  • The full RWG basis functions are shown in blue and red and the half RWG basis functions are shown in cyan.


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:
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Qualified Independent Underwriter means a qualified independent underwriter, as defined under the FINRA Rule 5121.
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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.
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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:
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Qualified Independent Underwriter that is required to be retained in accordance with the rules and regulations of the NASD;
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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).
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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.
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