Broker-Dealer Status. Neither the Company nor any of its related entities (i) is required to register as a “broker” or “dealer” in accordance with the provisions of the Exchange Act or (ii) directly or indirectly through one or more intermediaries, controls or is a “person associated with a member” or “associated person of a member” (within the meaning of Article I of the NASD Manual administered by FINRA). To the Company’s knowledge, there are no affiliations or associations between any member of FINRA and any of the Company’s officers, directors or 5% or greater security holders, except as set forth in the Registration Statement.
Appears in 58 contracts
Samples: Sales Agreement (Asset Entities Inc.), Sales Agreement (GeoVax Labs, Inc.), Sales Agreement (Tonix Pharmaceuticals Holding Corp.)
Broker-Dealer Status. Neither the Company nor any of its related entities (i) is required to register as a “broker” or “dealer” in accordance with the provisions of the Exchange Act or (ii) directly or indirectly through one or more intermediaries, controls or is a “person associated with a member” or “associated person of a member” (within the meaning of Article I of the NASD Manual administered by FINRA). To the Company’s knowledge, there are no affiliations or associations between any member of FINRA and any of the Company’s officers, directors or 510% or greater security holders, except as set forth in the Registration Statement.
Appears in 9 contracts
Samples: Atm Sales Agreement (Glucotrack, Inc.), Sales Agreement (Conduit Pharmaceuticals Inc.), Atm Sales Agreement (Oragenics Inc)
Broker-Dealer Status. Neither Except as set forth in the Registration Statement or Prospectus, neither the Company nor any of its related entities (i) is required to register as a “broker” or “dealer” in accordance with the provisions of the Exchange Act or (ii) directly or indirectly through one or more intermediaries, controls or is a “person associated with a member” or “associated person of a member” (within the meaning of Article I of the NASD Manual administered by FINRA). To the Company’s knowledge, there are no affiliations or associations between any member of FINRA and any of the Company’s officers, directors or 5% or greater security holders, except as set forth in the Registration Statement.
Appears in 2 contracts
Samples: Sales Agreement (Aqua Metals, Inc.), Sales Agreement (Heliogen, Inc.)
Broker-Dealer Status. Neither the Company nor any of its related entities (i) is required to register as a “"broker” " or “"dealer” " in accordance with the provisions of the Exchange Act or (ii) directly or indirectly through one or more intermediaries, controls or is a “"person associated with a member” " or “"associated person of a member” " (within the meaning of Article I of the NASD Manual administered by FINRA). To the Company’s 's knowledge, there are no affiliations or associations between any member of FINRA and any of the Company’s 's officers, directors or 5% or greater security holders, except as set forth in the Registration Statement.
Appears in 1 contract
Samples: Sales Agreement (Counterpath Corp)
Broker-Dealer Status. Neither the Company nor any of its related entities (i) is required to register as a “broker” or “dealer” in accordance with the provisions of the Exchange Act or (ii) directly or indirectly through one or more intermediaries, controls or is a “person associated with a member” or “associated person of a member” (within the meaning of Article I of the NASD Manual administered by FINRA). To the Company’s knowledge, there are no affiliations or associations between any member of FINRA and any of the Company’s officers, directors or 5% or greater security holders, except as set forth in the Registration StatementStatement or Prospectus.
Appears in 1 contract
Broker-Dealer Status. Neither the Company nor any of its related entities (i) is required to register as a “broker” or “dealer” in accordance with the provisions of the Exchange Act or (ii) directly or indirectly through one or more intermediaries, controls or is a “person associated with a member” or “associated person of a member” (within the meaning of Article I of the NASD Manual administered by FINRA). To the Company’s knowledge, there are no affiliations or associations between any member of FINRA and any of the Company’s officers, directors or 5% or greater security holders, except as set forth in the Registration Statementon Schedule 3.1(ff).
Appears in 1 contract
Samples: Securities Purchase Agreement (PECK Co HOLDINGS, INC.)
Broker-Dealer Status. Neither Except as set forth in the Registration Statement or the Prospectus, neither the Company nor any of its related entities (i) is required to register as a “broker” or “dealer” in accordance with the provisions of the Exchange Act or (ii) directly or indirectly through one or more intermediaries, controls or is a “person associated with a member” or “associated person of a member” (within the meaning of Article I of the NASD Manual administered by FINRA). To the Company’s knowledge, there are no affiliations or associations between any member of FINRA and any of the Company’s officers, directors or 5% or greater security holders, except as set forth in the Registration Statement.
Appears in 1 contract
