Regulatory Authority definition
Examples of Regulatory Authority in a sentence
In compliance with guidelines of the Financial Industry Regulatory Authority (“FINRA”), the maximum consideration or discount to be received by any FINRA member or independent broker dealer may not exceed 8% of the aggregate amount of the securities offered pursuant to this prospectus and any applicable prospectus supplement.
The Parties will cooperate with each other to address any safety-related inquiries or requests for safety assessment by any Regulatory Authority, including providing any necessary data or information in a timely manner.
In no event shall the Shareholder be identified as a statutory underwriter in the Registration Statement unless requested by the Commission or the Financial Industry Regulatory Authority; provided, that, if the Commission or the Financial Industry Regulatory Authority requests that the Shareholder be identified as a statutory underwriter in the Registration Statement, the Shareholder will have an opportunity to withdraw its Investor Shares from the Registration Statement.
If such written or electronic correspondence received from any such Regulatory Authority relates to the prohibition or suspension of the supply of a Licensed Product, or the initiation of any investigation, review, or inquiry by such Regulatory Authority concerning the safety of a Licensed Product, then KalVista will notify Kaken and provide Kaken with copies of such written or electronic correspondence [*].
Nothing herein prohibits or restricts the Director (or the Director ’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority, Inc.