Common use of FINRA Matters Clause in Contracts

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 27 contracts

Samples: Open Market Sale (P3 Health Partners Inc.), Sales Agreement (Inventiva S.A.), Open Market Sale (Alpha Tau Medical Ltd.)

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FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company and, to the knowledge of the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules Corporate Financing Rule 5110 is true, complete and correctcorrect in all material respects.

Appears in 22 contracts

Samples: Equity Distribution Agreement (Prospect Capital Corp), Equity Distribution Agreement (Prospect Capital Corp), Equity Distribution Agreement (Prospect Capital Corp)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 14 contracts

Samples: Open Market Sale (Arrowhead Pharmaceuticals, Inc.), Open Market Sale (Liquidia Technologies Inc), Carisma Therapeutics Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) FINRA rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 7 contracts

Samples: Sales Agreement (4D Molecular Therapeutics, Inc.), Open Market Sale (Gamida Cell Ltd.), Open Market Sale (Gamida Cell Ltd.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 6 contracts

Samples: Equity Offeringsm Sales Agreement (Janux Therapeutics, Inc.), Akebia Therapeutics, Inc., Tempest Therapeutics, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 6 contracts

Samples: Open Market Sale (Chimerix Inc), Open Market Sale (Arrowhead Pharmaceuticals, Inc.), Arrowhead Pharmaceuticals, Inc.

FINRA Matters. All of the information provided to the Agent Agents or to counsel for the Agent Agents by the Company and, to the knowledge of the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules Conduct Rule 5110, 5121 or NASD Conduct Rules 5190 is true, complete and correctcorrect in all material aspects.

Appears in 5 contracts

Samples: Equity Distribution Agreement (Cybin Inc.), Equity Distribution Agreement (Cybin Inc.), Seabridge Gold Inc

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counseland to the knowledge of the Company, its officers and directors trustees and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, and correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules in all material respects and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD National Association of Securities Dealers, Inc. Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 4 contracts

Samples: Open Market Sale Agreement (National Storage Affiliates Trust), Open Market Sale Agreement (National Storage Affiliates Trust), Open Market Sale Agreement (National Storage Affiliates Trust)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, and to the Company’s knowledge, its counsel, its officers and directors and its affiliates (within the holders meaning of any securities (debt or equityFINRA Rule 5121(f)(1)) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided by the Company to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 4 contracts

Samples: Open Market Sale (Praxis Precision Medicines, Inc.), Open Market Sale (Praxis Precision Medicines, Inc.), Open Market Sale (Praxis Precision Medicines, Inc.)

FINRA Matters. All of the information (including, but not limited to, information regarding affiliations, security ownership and trading activity) provided to the Placement Agent or to counsel for the Placement Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 4 contracts

Samples: Equity Distribution Agreement (Arbor Realty Trust Inc), Equity Distribution Agreement (Arbor Realty Trust Inc), Equity Distribution Agreement (Arbor Realty Trust Inc)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules in all material respects and any letters, filings or other supplemental information provided to FINRA by the Company pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Sales Agreement (Affimed N.V.), Affimed N.V., Affimed N.V.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, complete and correct in all material respects and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 3 contracts

Samples: Viridian Therapeutics, Inc.\DE, Viridian Therapeutics, Inc.\DE, Viridian Therapeutics, Inc.\DE

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and, to the Company’s knowledge, its counsel and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, complete and correct in all material respects and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Open Market Sale (Sol-Gel Technologies Ltd.), Open Market Sale (Sol-Gel Technologies Ltd.), Open Market Sale (Sol-Gel Technologies Ltd.)

FINRA Matters. All of the information provided to the Sales Agent or to counsel for the Sales Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Placement Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules in all material respects and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Sales Agreement (Yangtze River Port & Logistics LTD), Sales Agreement (NXT-Id, Inc.), Sales Agreement (Ocean Power Technologies, Inc.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company and to the Company’s knowledge, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Placement Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA by the Company pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 3 contracts

Samples: Evogene Ltd., Evogene Ltd., Evogene Ltd.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct in all material respects and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 2 contracts

Samples: Equillium, Inc., Equillium, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) FINRA rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct. The Company meets the requirements for use of Form S-3 under the Securities Act specified in FINRA Rule 5110(h)(1)(C).

Appears in 2 contracts

Samples: Open Market Sale (VBI Vaccines Inc/Bc), Open Market Sale (VBI Vaccines Inc/Bc)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and, to the knowledge of the Company, its counsel and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided by the Company to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 2 contracts

Samples: Sales Agreement (Orchestra BioMed Holdings, Inc.), Orchestra BioMed Holdings, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules rules, and to the Company’s knowledge, any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 2 contracts

Samples: Sales Agreement (Cibus, Inc.), Calyxt, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, Company and its counsel, and, to the Company’s knowledge, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares Shares, is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules in all material respects and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 2 contracts

Samples: Cerevel Therapeutics Holdings, Inc., Cerevel Therapeutics Holdings, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 2 contracts

Samples: Open Market Sale (Scholar Rock Holding Corp), Open Market Sale (Scholar Rock Holding Corp)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Placement Shares is true, complete, correct and compliant in all material respects with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 2 contracts

Samples: Sales Agreement (Singular Genomics Systems, Inc.), Sales Agreement (Werewolf Therapeutics, Inc.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant in all material respects with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) FINRA rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 2 contracts

Samples: Prime Medicine, Inc., Candel Therapeutics, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 2 contracts

Samples: Yumanity Therapeutics, Inc., Vapotherm Inc

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant in all material respects with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 2 contracts

Samples: Open Market Sale (Alvotech), attachment.news.eu.nasdaq.com

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, and, to the Company’s knowledge, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, true and correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information as of the date it is provided to FINRA pursuant the Agent or to FINRA Rules counsel for the Agent and is compliant in all material respects with FINRA’s rules in effect at the time it is provided to the Agent or NASD Conduct Rules is true, complete and correctto counsel for the Agent.

Appears in 2 contracts

Samples: Tarsus Pharmaceuticals, Inc., Inozyme Pharma, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant in all material respects with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 2 contracts

Samples: Equity Distribution Agreement (TELA Bio, Inc.), Equity Distribution Agreement (TELA Bio, Inc.)

FINRA Matters. All of the information provided to the Agent Agents or to counsel for the Agent Agents by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 2 contracts

Samples: Equity Distribution Agreement (BridgeBio Pharma, Inc.), BridgeBio Pharma, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory AuthorityFINRA’s rules, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant thereto or to FINRA Rules or NASD Conduct Rules conduct rules promulgated by the National Association of Securities Dealers, Inc. is true, complete and correct.

Appears in 2 contracts

Samples: Open Market Sale (Corbus Pharmaceuticals Holdings, Inc.), Corbus Pharmaceuticals Holdings, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Placement Shares is true, complete, correct and compliant in all material respects with Financial Industry Regulatory AuthorityFINRA’s rules, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete complete, correct and correctcompliant in all material respects.

Appears in 2 contracts

Samples: Sales Agreement (Altisource Portfolio Solutions S.A.), Sales Agreement (Surrozen, Inc./De)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Placement Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules in all material respects and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 2 contracts

Samples: Sales Agreement (Auris Medical Holding AG), Sales Agreement (Auris Medical Holding AG)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct. The Company meets the definition of the term “experienced issuer” specified in FINRA Rule 5110(j)(6).

Appears in 2 contracts

Samples: Enliven Therapeutics, Inc., Enliven Therapeutics, Inc.

FINRA Matters. All of the information provided to the Placement Agent or to counsel for the Placement Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares Securities is true, complete, correct and compliant in all material respects with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 2 contracts

Samples: Equity Distribution Agreement (Icad Inc), Equity Distribution Agreement (Sorrento Therapeutics, Inc.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company and, to the Company’s knowledge, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 2 contracts

Samples: Open Market Sale (AC Immune SA), Open Market Sale (AC Immune SA)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities on behalf of the Company in connection with the offering of the Shares is true, complete, correct and compliant with the Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: LogicBio Therapeutics, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company or, to its knowledge, by the Company, its counsel, its ’s officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with any letters, filings or other supplemental information provided to the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Open Market Sale (Vaccinex, Inc.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct in all material respects and compliant with the rules of the Financial Industry Regulatory Authority, Inc.’s Authority (the “FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Equity Distribution Agreement (Codexis, Inc.)

FINRA Matters. All of the information provided to the Agent Agents or to counsel for the Agent Agents by the Company, its counselofficers and, its officers and to the Company’s knowledge, directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules Rule 5110 is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Common Stock (Organovo Holdings, Inc.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct in all material respects and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Equillium, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, ​ ​ complete, correct and compliant in all material respects with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Equity Distribution Agreement (TELA Bio, Inc.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with the Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Sales Agreement (Vince Holding Corp.)

FINRA Matters. All of the information provided to the Agent Placement Agents or to counsel for the Agent Placement Agents by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares Units is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Placement Agency Agreement (KushCo Holdings, Inc.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares Stock is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Underwriting Agreement (Ikena Oncology, Inc.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company and, to the Company, its counsel’s knowledge, its officers and directors and the holders of any securities (debt or equity) of the Company or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Open Market Sale (AC Immune SA)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and, to the Company’s knowledge, its counsel and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, complete and correct in all material respects and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided in response to FINRA pursuant questions relating to FINRA Rules or NASD Conduct Rules 5110 and 5190 and is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Wave Life Sciences Ltd.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and, to the knowledge of the Company, its counsel and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Tcr2 Therapeutics Inc.

FINRA Matters. All of the information provided to the Agent or by the Company, and, to counsel for the Agent by knowledge of the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Securities Purchase Agreement (Ondas Holdings Inc.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors directors, and to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct in all material respects and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Kezar Life Sciences, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, complete and correct in all material respects and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Apogee Therapeutics, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, or to the knowledge of the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Dyne Therapeutics, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, counsel and its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares ADSs is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Open Market Sale (Purple Biotech Ltd.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant in all material respects with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: 374Water Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the CompanyCompany and its officers, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, complete and correct in all material respects and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Open Market Sale Agreement (Vascular Biogenics Ltd.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Ikena Oncology, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors directors, to the Company’s knowledge, and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: SQZ Biotechnologies Co

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and to the Company’s knowledge, compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Tango Therapeutics, Inc.

FINRA Matters. All of the information provided to the Agent Agents or to counsel for the Agent Agents by the Company, its counselofficers and, its officers and to the Company's knowledge, directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules Rule 5110 is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Common Stock (Innovate Biopharmaceuticals, Inc.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company and, to the Company’s knowledge, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant in all material respects with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Open Market Sale (Catabasis Pharmaceuticals Inc)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects. The Company meets the requirements for use of Form S-3 under the Securities Act specified in FINRA Rule 5110(b)(7)(C)(i).

Appears in 1 contract

Samples: Open Market Sale (Dave & Buster's Entertainment, Inc.)

FINRA Matters. All of the information provided by the Company to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided by the Company to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Elys Game Technology, Corp.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Placement Shares is true, complete, correct in all material respects and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Sales Agreement (Menlo Therapeutics Inc.)

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FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company and, to the knowledge of the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules 5110 or 5121 is true, complete and correct. The Company meets the definition of the term “experienced issuer” specified in FINRA Rule 5110(j)(6).

Appears in 1 contract

Samples: Strongbridge Biopharma PLC

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) FINRA rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Kineta, Inc./De

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, and to its knowledge, by its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) FINRA rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Deciphera Pharmaceuticals, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Waitr Holdings Inc.

FINRA Matters. All of the information provided to the Agent Manager or to counsel for the Agent Manager by the Company, and, to the knowledge of the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules rules is true, complete and correct.

Appears in 1 contract

Samples: Market Offering Agreement (Helius Medical Technologies, Inc.)

FINRA Matters. All If applicable, all of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) FINRA rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Verrica Pharmaceuticals Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Placement Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Abeona Therapeutics Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) FINRA rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct. The Company meets the requirements for use of Form S-3 under the Securities Act specified in FINRA Rule 5110(b)(7)(C)(i).

Appears in 1 contract

Samples: VBI Vaccines Inc/Bc

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant in all material respects with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) FINRA rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Cti Biopharma Corp

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant in all material respects with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Equity Offeringsm Sales Agreement (Aerovate Therapeutics, Inc.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, and to the knowledge of the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Open Market Sale (Cyclerion Therapeutics, Inc.)

FINRA Matters. All of the information provided to the Agent Placement Agents or to counsel for the Agent Placement Agents by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Placement Agency Agreement (Advaxis, Inc.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant in all material respects with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Vigil Neuroscience, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, or to the knowledge of the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, true and correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information as of the date it is provided to FINRA pursuant the Agent or to FINRA Rules counsel for the Agent and is compliant in all material respects with FINRA’s rules in effect at the time it is provided to the Agent or NASD Conduct Rules is true, complete and correctto counsel for the Agent.

Appears in 1 contract

Samples: Verve Therapeutics, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, Company or its officers and directors directors, and to the Company’s knowledge, its counsel and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares this Agreement is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA by the Company and its officers and directors and, to the Company’s knowledge, its counsel and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with this Agreement pursuant to FINRA Rules or NASD Conduct Rules FINRA’s rules is true, complete and correct.

Appears in 1 contract

Samples: Polarityte, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Placement Shares is true, complete, correct in all material respects and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) FINRA rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Sales Agreement (MeiraGTx Holdings PLC)

FINRA Matters. All of the information provided to the Agent Sales Agents or to counsel for the Agent Sales Agents by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Placement Shares is true, complete, correct and compliant in all material respects with Financial Industry Regulatory AuthorityFINRA’s rules, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete complete, correct and correctcompliant in all material respects.

Appears in 1 contract

Samples: Distribution Agreement (Akerna Corp.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA the Financial Industry Regulatory Authority (“FINRA”) pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects. The Company meets the requirements for use of Form S-3 under the Securities Act specified in FINRA Rule 5110(b)(7)(C)(i).

Appears in 1 contract

Samples: INFINERA Corp

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the knowledge of the Company, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct in all material respects and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Bellicum Pharmaceuticals, Inc

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) FINRA rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules rules or NASD Conduct Rules conduct rules is true, complete and correct.

Appears in 1 contract

Samples: Recursion Pharmaceuticals, Inc.

FINRA Matters. All of the information provided to the Agent Agents or to counsel for the Agent Agents by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities on behalf of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s 's ("FINRA") rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Open Market Sale (Lithium Americas Corp.)

FINRA Matters. All of the information provided to the Sales Agent or to counsel for the Sales Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares Placement Shares, is true, complete, correct and compliant in all material respects with Financial Industry Regulatory AuthorityFINRA’s rules, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules rules or NASD the National Association of Securities Dealers, or NASD, Conduct Rules is true, complete complete, correct and correctcompliant in all material respects.

Appears in 1 contract

Samples: Common Stock Sales Agreement (Akerna Corp.)

FINRA Matters. All of the information provided to the Agent Agents or to counsel for the Agent Agents by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) FINRA rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Eidos Therapeutics, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, Company or its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company counsel in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Sales Agreement (DBV Technologies S.A.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, or to the knowledge of the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant in all material respects with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Humacyte, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct. The Company meets the requirements for use of Form S-3 under the Securities Act specified in FINRA Rule 5110(h)(1)(C).

Appears in 1 contract

Samples: Terms Agreement (ImmunityBio, Inc.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.. The 12

Appears in 1 contract

Samples: Pieris Pharmaceuticals, Inc.

FINRA Matters. All of the information provided to the Agent Agents or to counsel for the Agent Agents by the Company, its counseland to the knowledge of the Company, its officers and directors trustees and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, and correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules in all material respects and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD National Association of Securities Dealers, Inc. Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Sales Agreement (National Storage Affiliates Trust)

FINRA Matters. All of the information provided to the Agent Agents or to counsel for the Agent Agents by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA Financial Industry Regulatory Authority, Inc. (“FINRA”) pursuant to FINRA Rules or NASD Conduct Rules 5110, 5190 and 5121 is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Equity Distribution Agreement (Nouveau Monde Graphite Inc.)

FINRA Matters. All of the information provided to the Agent or the Forward Purchaser, or to counsel for the Agent and the Forward Purchaser, by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) FINRA rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Open Market Sale (Janus International Group, Inc.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company and to the Company’s knowledge, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant in all material respects with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Soleno Therapeutics Inc

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares Shares, is true, complete, correct and compliant in all material resects with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) FINRA rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Rockley Photonics Holdings LTD

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided by the Company to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Open Market Sale (Mesa Laboratories Inc /Co/)

FINRA Matters. All of the information provided to the Agent Agents or to counsel for the Agent Agents by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Placement Shares is true, complete, complete and correct in all material respects and compliant with Financial Industry Regulatory Authority, Inc.FINRA’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Sales Agreement (Alx Oncology Holdings Inc)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its or to the Company’s knowledge, by the Company’s officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares for purposes of the Agent’s filings with FINRA is true, complete, complete and correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) FINRA rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 1 contract

Samples: Silence Therapeutics PLC

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Lexicon Pharmaceuticals, Inc.

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, or to the knowledge of the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) FINRA rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 1 contract

Samples: Open Market Sale Agreement (Decibel Therapeutics, Inc.)

FINRA Matters. All of the information provided to the Agent or the Forward Purchaser, or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of Forward Purchaser, by the Company in connection with the offering of the Shares is true, complete, correct and compliant in all material respects with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) FINRA rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete true and correct.

Appears in 1 contract

Samples: Terms Agreement (Carrols Restaurant Group, Inc.)

FINRA Matters. All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and any letters, filings or other supplemental information provided to FINRA Financial Industry Regulatory Authority, Inc. (“FINRA”) pursuant to FINRA Rules or NASD Conduct Rules 5110, 5121 and 5190 is true, complete and correct.

Appears in 1 contract

Samples: Imago BioSciences, Inc.

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