FINRA Affiliations. Neither the Company nor any Subsidiary directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 8 contracts
Samples: Underwriting Agreement (Arotech Corp), Underwriting Agreement (Emcore Corp), Underwriting Agreement (Arotech Corp)
FINRA Affiliations. Neither the Company nor nor, to the Company’s knowledge, any Subsidiary of its affiliates (within the meaning of Rule 2720(b)(1)(a)) of the FINRA Manual) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 2 contracts
Samples: Placement Agency Agreement (Aradigm Corp), Placement Agency Agreement (Aradigm Corp)
FINRA Affiliations. Neither Except as described in the due diligence materials provided by the Company to the Placement Agents, neither the Company nor any Subsidiary nor any of their affiliates directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 1 contract
Samples: Placement Agency Agreement (Axion Power International, Inc.)
