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.