Dealer Representations. 1.1 You hereby confirm that you (i) are a member in good standing of the Financial Industry Regulatory Authority, Inc. (“FINRA”), (ii) are qualified and duly registered to act as a broker-dealer within all states in which you will sell the Shares, (iii) are a broker-dealer duly registered with the SEC pursuant to the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and (iv) will maintain all such registrations and qualifications in good standing for the duration of your involvement in the Offering. You agree to immediately notify the Managing Broker-Dealer if you cease to be a member of FINRA in good standing.
Appears in 10 contracts
Samples: Dealer Agreement (Tuscan Gardens Senior Living Communities, Inc.), Dealer Agreement (Tuscan Gardens Senior Living Communities, Inc.), Dealer Agreement (Tuscan Gardens Senior Living Communities, Inc.)
Dealer Representations. 1.1 You hereby confirm that you (i) are a member in good standing of the Financial Industry Regulatory Authority, Inc. (“"FINRA”"), (ii) are qualified and duly registered to act as a broker-dealer within all states in which you will sell the Shares, (iii) are a broker-dealer duly registered with the SEC pursuant to the Securities Exchange Act of 1934, as amended (the “"Exchange Act”"), and (iv) will maintain all such registrations and qualifications in good standing for the duration of your involvement in the Offering. You agree to immediately notify the Managing Broker-Dealer if you cease to be a member of FINRA in good standingstanding and further agree that if that should occur, you will cease all activities related to the Offering.
Appears in 2 contracts
Samples: Lock Up Agreement (True Leaf Medicine International Ltd.), Underwriting Agreement (True Leaf Medicine International Ltd.)
Dealer Representations. 1.1 You hereby confirm that you (i) are a member in good standing of the Financial Industry Regulatory Authority, Inc. (“FINRA”), (ii) are qualified and duly registered to act as a broker-dealer within all states in which you will sell the Shares, (iii) are a broker-dealer duly registered with the SEC pursuant to the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and (iv) will maintain all such registrations and qualifications in good standing for the duration of your involvement in the Offering. You agree to immediately notify the Managing Broker-Dealer if you cease to be a member of FINRA in good standingstanding and further agree that in such event, you will cease all activities related to the Offering.
Appears in 2 contracts
Samples: Dealer Agreement (CapRocq Core REIT, Inc.), Dealer Agreement (CapRocq Core REIT, Inc.)
Dealer Representations. 1.1 You hereby confirm that you (i) are a member in good standing of the Financial Industry Regulatory Authority, Inc. (“FINRA”), (ii) are qualified and duly registered to act as a broker-dealer within all states in which you will sell the Shares, (iii) are a broker-dealer duly registered with the SEC pursuant to the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and (iv) will maintain all such registrations and qualifications in good standing for the duration of your involvement in the Offering. You agree to immediately notify the Managing Broker-Dealer if you cease to be a member of FINRA in good standingstanding and further agree that if that should occur, you will cease all activities related to the Offering.
Appears in 1 contract
Samples: Allied Corp.
