Common use of FINRA Affiliation Clause in Contracts

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 48 contracts

Samples: Underwriting Agreement (Kairos Pharma, LTD.), Underwriting Agreement (OS Therapies Inc), Underwriting Agreement (Kairos Pharma, LTD.)

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FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 34 contracts

Samples: Underwriting Agreement (Cardiff Lexington Corp), Underwriting Agreement (CaliberCos Inc.), Underwriting Agreement (Asset Entities Inc.)

FINRA Affiliation. To Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, to the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement Statement, that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 26 contracts

Samples: Underwriting Agreement (Nano Nuclear Energy Inc.), Underwriting Agreement (Nano Nuclear Energy Inc.), Underwriting Agreement (Majestic Ideal Holdings LTD)

FINRA Affiliation. To the Company’s knowledge, and except Except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s CounselRegistration Statement, the Pricing Disclosure Package and the Prospectus, there is no (i) officer or director of the Company, or, to the Company’s knowledge, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which that were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 10 contracts

Samples: Underwriting Agreement (Tonix Pharmaceuticals Holding Corp.), Underwriting Agreement (Tonix Pharmaceuticals Holding Corp.), Underwriting Agreement (Nano Dimension Ltd.)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the RepresentativeUnderwriter’s Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 7 contracts

Samples: Underwriting Agreement (SMX (Security Matters) Public LTD Co), Underwriting Agreement (SMX (Security Matters) Public LTD Co), Underwriting Agreement (SMX (Security Matters) Public LTD Co)

FINRA Affiliation. To the Company’s knowledge, knowledge and except as may otherwise be disclosed described in FINRA questionnaires provided to the Representative’s CounselRegistration Statement, the Pricing Disclosure Package and the Prospectus, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 6 contracts

Samples: Underwriting Agreement (Clip Interactive, LLC), Underwriting Agreement (Clip Interactive, LLC), Underwriting Agreement (Hancock Jaffe Laboratories, Inc.)

FINRA Affiliation. To the Company’s knowledge, and except Except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s CounselRegistration Statement, the Pricing Disclosure Package and the Prospectus, there is no (i) officer or director of the Company, or, to the Company’s knowledge (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which that were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 6 contracts

Samples: Underwriting Agreement (iBio, Inc.), Underwriting Agreement (iBio, Inc.), Underwriting Agreement (iBio, Inc.)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s Representatives’ Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 5 contracts

Samples: Underwriting Agreement (Fitell Corp), Underwriting Agreement (Fitell Corp), Underwriting Agreement (Sidus Space Inc.)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 510% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 5 contracts

Samples: Underwriting Agreement (EPWK Holdings Ltd.), Underwriting Agreement (Reticulate Micro, Inc.), Underwriting Agreement (CleanCore Solutions, Inc.)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s Representatives’ Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 5 contracts

Samples: Underwriting Agreement (Know Labs, Inc.), Underwriting Agreement (Know Labs, Inc.), Underwriting Agreement (Hempacco Co., Inc.)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the RepresentativeUnderwriter’s Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of five percent (5% %) or more of any class of the Company’s securities securities, or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day one hundred eighty (180)-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 4 contracts

Samples: Underwriting Agreement (Applied UV, Inc.), Underwriting Agreement (Applied UV, Inc.), Underwriting Agreement (Applied UV, Inc.)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s Representative Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 3 contracts

Samples: Underwriting Agreement (Boxlight Corp), Underwriting Agreement (Boxlight Corp), Underwriting Agreement (Boxlight Corp)

FINRA Affiliation. To the Company’s knowledge, and except Except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s CounselRegistration Statement, there is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s 's unregistered equity securities which were who acquired any equity securities of the Company during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 3 contracts

Samples: Underwriting Agreement (Sachem Capital Corp.), Underwriting Agreement (Sachem Capital Corp.), Underwriting Agreement (Sachem Capital Corp.)

FINRA Affiliation. To the Company’s knowledge, and except Except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s CounselRepresentative or as as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 3 contracts

Samples: Underwriting Agreement (Rennova Health, Inc.), Underwriting Agreement (Rennova Health, Inc.), Underwriting Agreement (Rennova Health, Inc.)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities securities, or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 3 contracts

Samples: Underwriting Agreement (Zhong Yuan Bio-Technology Holdings LTD), Underwriting Agreement (Zhong Yuan Bio-Technology Holdings LTD), Underwriting Agreement (Zhong Yuan Bio-Technology Holdings LTD)

FINRA Affiliation. To Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, to the Company’s 's knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement Statement, that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 3 contracts

Samples: Underwriting Agreement (Gamer Pakistan Inc), Underwriting Agreement (Gamer Pakistan Inc), Underwriting Agreement (Gamer Pakistan Inc)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the RepresentativeUnderwriter’s Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 3 contracts

Samples: Underwriting Agreement (mF International LTD), Underwriting Agreement (mF International LTD), Underwriting Agreement (mF International LTD)

FINRA Affiliation. To the Company’s knowledge, and except Except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s CounselRepresentative or as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 2 contracts

Samples: Underwriting Agreement (Rennova Health, Inc.), Underwriting Agreement (Rennova Health, Inc.)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s Representatives’ Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% ten percent (10%) or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 2 contracts

Samples: Underwriting Agreement (Know Labs, Inc.), Underwriting Agreement (Know Labs, Inc.)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s Counsel, there There is no (iA) officer or director of the Company, (iiB) to the best of Company’s knowledge after due inquiry, the beneficial owner of 510% or more of any class of the Company’s securities or (iiiC) to the best of Company’s knowledge after due inquiry, the beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the original filing of the Registration Statement that that, in each case, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 2 contracts

Samples: Underwriting Agreement (HomesToLife LTD), Underwriting Agreement (HomesToLife LTD)

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FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the RepresentativeUnderwriter’s Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day one hundred eighty (180)-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 1 contract

Samples: Underwriting Agreement (Applied UV, Inc.)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% ten percent (10%) or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 1 contract

Samples: Underwriting Agreement (Know Labs, Inc.)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 510% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 1 contract

Samples: Underwriting Agreement (CleanCore Solutions, Inc.)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s Representatives’ Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 510% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the original filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 1 contract

Samples: Underwriting Agreement (Golden Heaven Group Holdings Ltd.)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the RepresentativeUnderwriter’s Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 1 contract

Samples: Underwriting Agreement (Primech Holdings LTD)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s Counsel, there There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 5% or more of any class of the Company’s securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement Prospectus, or anticipated to be acquired during the 60-day period following the Closing, that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 1 contract

Samples: Placement Agency Agreement (Luokung Technology Corp.)

FINRA Affiliation. To Except as provided in the Company’s knowledge, and except as may otherwise be disclosed in completed FINRA questionnaires Questionnaires provided to counsel to the Representative’s CounselPlacement Agent, there is no (i) officer or director of the Company, (ii) to the Company's knowledge, beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) to the Company's knowledge, beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 1 contract

Samples: Placement Agency Agreement (Nemaura Medical Inc.)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s Representatives’ Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 510% or more of any class of the Company’s securities or (iiii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-180- day period immediately preceding the original filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 1 contract

Samples: Underwriting Agreement (Golden Heaven Group Holdings Ltd.)

FINRA Affiliation. To the Company’s knowledgeknowledge based on the information provided by its officers, directors and except as may otherwise be disclosed beneficial owners of 5% or more of any class of Company securities, in their FINRA questionnaires provided to the Representative’s Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 1 contract

Samples: Underwriting Agreement (Ipsidy Inc.)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s Counsel, there There is no (i) officer or director of the Company, (ii) beneficial owner (other than officers or directors of the Company) of 5% or more of any class of the Company’s securities to the Company’s knowledge, or (iii) beneficial owner (other than officers and directors of the Company) of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA)) to the Company’s knowledge.

Appears in 1 contract

Samples: Underwriting Agreement (Emulate Therapeutics, Inc.)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s CounselRegistration Statement, the Pricing Disclosure Package and the Prospectus, there is no (i) officer or director of the Company, (ii) beneficial owner of 510% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 1 contract

Samples: Underwriting Agreement (GoodFaith Technology Inc.)

FINRA Affiliation. To the Company’s knowledge, and except as may otherwise be disclosed in the FINRA questionnaires provided to the Representative’s Representative Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Appears in 1 contract

Samples: Underwriting Agreement (Sidus Space Inc.)

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