Common use of Absence of Certain Fees Clause in Contracts

Absence of Certain Fees. Except as described in the Registration Statement, the Statutory Prospectus and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or any other form that would be “underwriting compensation” as defined in Rule 5110 of the FINRA Manual): (i) to any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (ii) to any person that has been accepted by FINRA as a member of FINRA (a “Member”); or (iii) to any person or entity that has any direct or indirect affiliation or association with any Member, within the FINRA Review Period, as defined in Rule 5110(j)(20) of the FINRA Manual, other than payments to the Underwriters pursuant to this Agreement.

Appears in 6 contracts

Samples: Underwriting Agreement (Infinite Acquisition Corp.), Underwriting Agreement (Artisan Acquisition Corp.), Underwriting Agreement (Anthropos Capital Corp)

AutoNDA by SimpleDocs

Absence of Certain Fees. Except as described in the Registration Statement, the Statutory Prospectus and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or any other form that would be underwriting compensationitem of value” as defined in Rule 5110 5110(c)(3) of the FINRA ManualFINRA’s Conduct Rules): (i) to any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (ii) to any person that has been accepted by FINRA as a member of FINRA (a “Member”); or (iii) to any person or entity that has any direct or indirect affiliation or association with any Member, within the FINRA Review Period, as defined in Rule 5110(j)(20) of twelve months prior to the FINRA ManualEffective Date, other than payments to the Underwriters pursuant to this Agreement.

Appears in 5 contracts

Samples: Underwriting Agreement (GO Acquisition Corp.), Underwriting Agreement (GO Acquisition Corp.), Underwriting Agreement (Replay Acquisition Corp.)

Absence of Certain Fees. Except as described in the Registration Statement, the Statutory Prospectus and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or any other form method that would be deemed to be “underwriting compensation” as defined in pursuant to FINRA Rule 5110 5110(j)(22) of the FINRA ManualFINRA’s Conduct Rules): (i) to any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (ii) to any person that has been accepted by FINRA as a member of FINRA (a “Member”); Member”); or (iii) to any person or entity that has any direct or indirect affiliation or association with any Member, within the FINRA Review Period, as defined in Rule 5110(j)(20) of twelve months prior to the FINRA ManualEffective Date, other than payments to the Underwriters pursuant to this Agreement.

Appears in 4 contracts

Samples: Trust Agreement (Catalyst Partners Acquisition Corp.), Trust Agreement (Revolution Healthcare Acquisition Corp.), Catalyst Partners Acquisition Corp.

Absence of Certain Fees. Except as described in the Registration Statement, the Statutory Prospectus and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or by any other form method that would be deemed to be “underwriting compensation” as defined in pursuant to FINRA Rule 5110 of the FINRA Manual5110): (i) to any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (ii) to any person that has been accepted by FINRA as a member of FINRA (a “Member”); or (iii) to any person or entity that has any direct or indirect affiliation or association with any Member, within the FINRA Review Period, as defined in Rule 5110(j)(20) of twelve months prior to the FINRA ManualEffective Date, other than payments to the Underwriters pursuant to this Agreement.

Appears in 3 contracts

Samples: Underwriting Agreement (Cascade Acquisition Corp), Underwriting Agreement (Cascade Acquisition Corp), Underwriting Agreement (Cascade Acquisition Corp)

Absence of Certain Fees. Except as described in the Registration Statement, the Statutory Prospectus and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or any other form method that would be deemed to be “underwriting compensation” as defined in pursuant to FINRA Rule 5110 of the FINRA Manual5110): (i) to any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (ii) to any person that has been accepted by FINRA as a member of FINRA (a “Member”); or (iii) to any person or entity that has any direct or indirect affiliation or association with any Member, within the FINRA Review Periodreview period, as defined in Rule 5110(j)(20) of the FINRA Manual, other than payments to the Underwriters pursuant to this Agreement.

Appears in 3 contracts

Samples: Underwriting Agreement (Chenghe Acquisition Co.), Underwriting Agreement (Chenghe Acquisition Co.), Underwriting Agreement (Chenghe Acquisition Co.)

AutoNDA by SimpleDocs

Absence of Certain Fees. Except as described in the Registration Statement, the Statutory Prospectus and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or in any other form that would be “underwriting compensation” as defined in Rule 5110 of the FINRA Manual): (i) to any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (ii) to any person that that, to the Company’s knowledge, has been accepted by FINRA as a member of FINRA (a “Member”); or (iii) to any person or entity that that, to the Company’s knowledge, has any direct or indirect affiliation or association with any Member, within the FINRA Review Period, as defined in Rule 5110(j)(20) of the FINRA Manual, other than payments to the Underwriters pursuant to this Agreement.

Appears in 2 contracts

Samples: Underwriting Agreement (Silver Spike Acquisition Corp II), Underwriting Agreement (Silver Spike Acquisition Corp II)

Absence of Certain Fees. Except as described in the Registration Statement, the Statutory Prospectus and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or in any other form that would be “underwriting compensation” as defined in Rule 5110 of the FINRA Manual): (i) to any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (ii) to any person that has been accepted by FINRA as a member of FINRA (a “Member”); or (iii) to any person or entity that has any direct or indirect affiliation or association with any Member, within the FINRA Review Period, as defined in Rule 5110(j)(20) of the FINRA Manual, other than payments to the Underwriters pursuant to this Agreement.

Appears in 1 contract

Samples: Underwriting Agreement (N2 Acquisition Holdings Corp.)

Time is Money Join Law Insider Premium to draft better contracts faster.