Criminal Convictions. Within the past 10 years (or five years, in the of case the Company), have you or the Company been convicted of any felony or misdemeanor (a) In connection with the purchase or sale of a security YES NO (b) Involving the making of a false filing with the Securities and Exchange Commission (the “SEC”) YES NO (c) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities. YES NO
Appears in 3 contracts
Samples: Securities Purchase Agreement (Reign Sapphire Corp), Securities Purchase Agreement (WPCS International Inc), Securities Purchase Agreement (Emerald Medical Applications Corp.)
Criminal Convictions. Within the past 10 years (or five years, in the of case the Company), have you or the Company been convicted of any felony or misdemeanor
(a) In connection with the purchase or sale of a security YES NO¨ NO ¨
(b) Involving the making of a false filing with the Securities and Exchange Commission (the “SEC”) YES NO¨ NO ¨
(c) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities. YES NO¨ NO ¨
Appears in 3 contracts
Samples: Securities Purchase Agreement (DropCar, Inc.), Securities Purchase Agreement (WPCS International Inc), Securities Purchase Agreement (WPCS International Inc)
Criminal Convictions. Within the past 10 years (or five years, in the of case the Company), have you or the Company been convicted of any felony or misdemeanor
(a) In connection with the purchase or sale of a security YES x NO
(b) Involving the making of a false filing with the Securities and Exchange Commission (the “SEC”) YES x NO
(c) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities. YES x NO
Appears in 1 contract
Samples: Securities Purchase Agreement (iHookup Social, Inc.)
Criminal Convictions. Within the past 10 years (or five years, in the of case the Company), have you or the Company been convicted of any felony or misdemeanor
(a) In connection with the purchase or sale of a security YES NO___ NO ___
(b) Involving the making of a false filing with the Securities and Exchange Commission (the “SEC”) YES NO___ NO ___
(c) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities. YES NOYES___ NO ___
Appears in 1 contract
Criminal Convictions. Within the past 10 years (or five years, in the of case the Company), have you or the Company been convicted of any felony or misdemeanor
(a) In connection with the purchase or sale of a security YES NO_______ NO _______
(b) Involving the making of a false filing with the Securities and Exchange Commission (the “SEC”) YES NO_______ NO _______
(c) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities. YES NO_______ NO _______
Appears in 1 contract
Criminal Convictions. Within the past 10 years (or five years, in the of case the Company), have you or the Company been convicted of any felony or misdemeanor
(a) In connection with the purchase or sale of a security YES NO___ NO ___
(b) Involving the making of a false filing with the Securities and Exchange Commission (the “SEC”) YES NO___ NO ___
(c) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities. YES NO___ NO ___
Appears in 1 contract
Criminal Convictions. Within the past 10 years (or five years, in the of case the Company), have you or the Company been convicted of any felony or misdemeanor
(a) In connection with the purchase or sale of a security YES NOYes No
(b) Involving the making of a false filing with the Securities and Exchange Commission (the “SEC”) YES NOYes No
(c) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities. YES NOYes No
Appears in 1 contract
