FINRA Filings Sample Clauses
The FINRA Filings clause requires parties to submit certain documents or disclosures to the Financial Industry Regulatory Authority (FINRA) as part of regulatory compliance. Typically, this clause applies to agreements involving securities offerings or broker-dealer activities, where filings such as offering documents, amendments, or notifications must be provided to FINRA for review and approval. Its core function is to ensure that all necessary regulatory filings are made in a timely and accurate manner, thereby maintaining compliance with industry regulations and protecting both parties from potential legal or regulatory issues.
FINRA Filings. Be primarily responsible for any necessary Rule 5110 FINRA filings regarding compensation arrangements of the MB by reason of the Offering; and
FINRA Filings. The cost of any filings related to the Notes with the Financial Industry Regulatory Authority, Inc.
FINRA Filings. After compliance with ▇▇▇▇▇▇▇▇▇▇ ▇.▇, ▇.▇, ▇.▇ ▇▇▇ ▇.▇ above, and after obtaining a new Symbol from FINRA, Lexicon shall file a Form 15c-211 to become trading on the OTC Bulletin Board.
FINRA Filings. All of the information, as may have been updated or amended, provided to the Underwriters or to counsel for the Underwriters by the Company or, to the Company’s knowledge, by its officers and directors and certain holders of Common Stock in connection with letters, filings or other supplemental information provided to the Financial Industry Regulatory Authority, Inc. (“FINRA”) pursuant to FINRA Rule 5110 and FINRA Rule 5121 is true, complete and correct.
FINRA Filings. The cost of any filings related to the Notes with FINRA.
FINRA Filings. After closing Buyer will obtain a new Symbol from FINRA, Buyer shall file a Form 15c-211 to become trading on the OTC Bulletin Board.
FINRA Filings. Be primarily responsible for any necessary Rule 5110 FINRA filings regarding compensation arrangements of the MPB and other Selling Group Members by reason of the Offering; and
FINRA Filings. All of the information, as may have been updated or amended, provided to Sandler or to counsel for Sandler by the Company or, to the Company’s knowledge, by its officers and directors and certain holders of Common Stock in connection with letters, filings or other supplemental information provided to the Financial Industry Regulatory Authority, Inc. (“FINRA”) pursuant to FINRA Rule 5110 and FINRA Rule 5121 is true, complete and correct.