FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its officers and directors and the holders of any securities of the Company in connection with letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") pursuant to FINRA Conduct Rule 5100 is true, complete and correct in all material respects.
Appears in 7 contracts
Samples: Underwriting Agreement (Golub Capital BDC, Inc.), Underwriting Agreement (Golub Capital BDC, Inc.), Underwriting Agreement (Golub Capital BDC, Inc.)
FINRA Matters. All of the information provided to the Underwriters Representatives or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its officers and directors and the holders of any securities of the Company in connection with letters, filings or other supplemental information provided to Financial Industry Regulatory Authority Authority, Inc. ("“FINRA"”) pursuant to FINRA Conduct Rule 5100 5110 is true, complete and correct in all material respects.
Appears in 7 contracts
Samples: Underwriting Agreement (GOLUB CAPITAL BDC, Inc.), Underwriting Agreement (GOLUB CAPITAL BDC, Inc.), Underwriting Agreement (GOLUB CAPITAL BDC, Inc.)
FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the knowledge of the Company’s knowledge, its officers and directors and the holders of any securities of the Company directors, in connection with letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") pursuant to FINRA Conduct Rule 5100 the offering of the Offered Shares is true, complete and correct in all material respectsrespects and compliant with the rules of the Financial Industry Regulatory Authority (“FINRA”).
Appears in 5 contracts
Samples: Underwriting Agreement (Everbridge, Inc.), Underwriting Agreement (Everbridge, Inc.), Underwriting Agreement (Everbridge, Inc.)
FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its officers and directors and the holders of any securities of the Company Company, in connection with letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") FINRA pursuant to FINRA Conduct Rule 5100 2310 in connection with this offering is true, complete and correct in all material respects.
Appears in 5 contracts
Samples: Underwriting Agreement (Stellus Capital Investment Corp), Underwriting Agreement (Alcentra Capital Corp), Underwriting Agreement (Alcentra Capital Corp)
FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company andCompany, and to the knowledge of the Company, its officers and directors and the holders of any securities of the Company in connection with letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") FINRA pursuant to FINRA Conduct Rule 5100 5110, 5121 or 5190 is true, complete and correct in all material respects.
Appears in 4 contracts
Samples: Underwriting Agreement (RCS Capital Corp), Underwriting Agreement (Schorsch Nicholas S), Underwriting Agreement (RCS Capital Corp)
FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its officers and directors and the holders of any securities of the Company in connection with letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") FINRA pursuant to FINRA Conduct Rule 5100 5110 and/or FINRA Rule 5121 is true, complete and correct in all material respectscorrect.
Appears in 3 contracts
Samples: Underwriting Agreement (Energy & Exploration Partners, Inc.), Underwriting Agreement (Newlink Genetics Corp), Underwriting Agreement (Taylor & Martin Group Inc)
FINRA Matters. All of the information provided to the Underwriters Underwriter or to counsel for the Underwriters Underwriter by the Company and, to the knowledge of the Company, its officers and directors and the holders of any securities of the Company in connection with letters, filings or other supplemental information provided to Financial Industry Regulatory Authority Authority, Inc. ("“FINRA"”) pursuant to FINRA Conduct Rule 5100 5110 is true, complete and correct in all material respects.
Appears in 3 contracts
Samples: Underwriting Agreement (Golub Capital BDC, Inc.), Underwriting Agreement (Golub Capital BDC, Inc.), Underwriting Agreement (GOLUB CAPITAL BDC, Inc.)
FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its officers and directors and the holders of any securities of the Company Company, in connection with letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") FINRA pursuant to FINRA Conduct Rule 5100 5110 in connection with this offering is true, complete and correct in all material respects.
Appears in 3 contracts
Samples: Underwriting Agreement (CM Finance Inc), Underwriting Agreement (Poliwogg Regenerative Medicine Fund, Inc.), Underwriting Agreement (Poliwogg Regenerative Medicine Fund, Inc.)
FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and its officers and, to the knowledge of the Company, its officers and directors and the holders of any securities of the Company Company, in connection with letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") FINRA pursuant to FINRA Conduct Rule 5100 5110 in connection with this offering is true, complete and correct in all material respects.
Appears in 3 contracts
Samples: Underwriting Agreement (Investcorp Credit Management BDC, Inc.), Underwriting Agreement (Investcorp Credit Management BDC, Inc.), Underwriting Agreement (CM Finance Inc)
FINRA Matters. All of the information provided to the Underwriters Representatives or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its officers and or its executive chairman, or to the Company’s knowledge, any of its other directors and the holders of any securities of the Company or security holders, in connection with any letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") FINRA pursuant to FINRA Conduct Rule 5100 5110 or 2720 is true, complete and correct in all material respectscorrect.
Appears in 2 contracts
Samples: Underwriting Agreement (Insys Therapeutics, Inc.), Underwriting Agreement (Insys Therapeutics, Inc.)
FINRA Matters. All of the information provided to the Underwriters Representative or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its officers and directors and the holders of any securities of the Company in connection with letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") the FINRA pursuant to FINRA Conduct Rule 5100 2710 or 2720 is true, complete and correct correct. To the knowledge of the Company, except as disclosed in all material respectsthe Registration Statement, the Disclosure Package and the Prospectus, no director or officer of the Company has any association with any FINRA member.
Appears in 2 contracts
Samples: Helix Energy Solutions Group Inc, Helix Energy Solutions Group Inc
FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its officers and directors and the holders of any securities of the Company in connection with letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") FINRA pursuant to FINRA Conduct Rule 5100 5110, 5121 or 5190 is true, complete and correct in all material respectsaspects.
Appears in 2 contracts
Samples: Underwriting Agreement (Draganfly Inc.), Underwriting Agreement (Draganfly Inc.)
FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its officers and directors and the holders of any securities of the Company in connection with letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("“FINRA"”) pursuant to FINRA Conduct Rule 5100 is true, complete and correct in all material respects.
Appears in 1 contract
FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by regarding the Company and, to the knowledge of the Company, its all directors, officers and directors and the holders of any securities stockholders of the Company, provided to the Representatives or to counsel for the Underwriters by the Company or such directors, officers or stockholders in connection with any letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") FINRA pursuant to FINRA Conduct Rule 5100 5110 or 2720 (collectively, the “FINRA Information”) is true, complete and correct in all material respectscorrect.
Appears in 1 contract
FINRA Matters. All of the information provided to the Underwriters Representatives or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its officers and directors and the holders of any securities of the Company in connection with letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") the FINRA pursuant to FINRA Conduct Rule 5100 2710 or 2720 is true, complete and correct correct. To the knowledge of the Company, except as disclosed in all material respectsthe General Disclosure Package and the Final Prospectus, no director or officer of the Company has any association with any FINRA member.
Appears in 1 contract
Samples: Underwriting Agreement (Helix Energy Solutions Group Inc)
FINRA Matters. All of the information provided to the Underwriters Representatives or to counsel for the Underwriters Representatives by the Company and, to the knowledge of the Company, its officers and directors and the holders of any securities of the Company in connection with letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") the FINRA pursuant to FINRA Conduct Rule 5100 5110 or 5121 is true, complete and correct correct. The Company meets the definition of the term “experienced issuer” specified in all material respectsFINRA Rule 5110(j)(6).
Appears in 1 contract
Samples: Lock Up Agreement (Veritone, Inc.)
FINRA Matters. All of the information provided to the Underwriters Representatives or to counsel for the Underwriters by the Company andregarding the Company or, to the knowledge Company’s knowledge, any of the Company’s directors, its officers and directors and the or security holders of any securities of the Company in connection with any letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") FINRA pursuant to FINRA Conduct Rule 5100 5110 or 5121 is true, complete and correct in all material respectscorrect.
Appears in 1 contract
FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its officers and directors and the holders of any securities of the Company in connection with letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") the FINRA pursuant to FINRA Conduct Rule 5100 2710 or 2720 is true, complete and correct in all material respectscorrect.
Appears in 1 contract
Samples: Purchase Agreement (Colonial Realty Limited Partnership)
FINRA Matters. All of the information provided to the Underwriters Representatives or to counsel for the Underwriters by the Company andregarding the Company or the Company’s executive officers and directors or, to the knowledge of the Company, its officers and directors and the holders of any securities of the Company Company’s security holders in connection with any letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") FINRA pursuant to FINRA Conduct Rule 5100 5110 or 5121 is true, complete and correct in all material respectscorrect.
Appears in 1 contract
Samples: Underwriting Agreement (Tabula Rasa HealthCare, Inc.)
FINRA Matters. All of the information provided to the Underwriters Representatives or to counsel for the Underwriters by the Company andregarding the Company or the Company’s officers and directors or, to the knowledge of the Company, its officers and directors and the holders of any securities of the Company Company’s security holders in connection with any letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") FINRA pursuant to FINRA Conduct Rule 5100 5110 or 5121 is true, complete and correct in all material respectscorrect.
Appears in 1 contract
Samples: Underwriting Agreement (Tabula Rasa HealthCare, Inc.)
FINRA Matters. All of the information provided to the Underwriters Representatives or to counsel for the Underwriters by the Company and, to regarding the knowledge of Company or the Company, its ’s executive officers and or directors and the holders of any securities of the Company in connection with any letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") FINRA pursuant to FINRA Conduct Rule 5100 5110 or 5121 is true, complete and correct in all material respects.
Appears in 1 contract
FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its officers and directors and the holders of any securities of the Company in connection with letters, filings or other supplemental information provided to Financial Industry Regulatory Authority ("FINRA") FINRA pursuant to FINRA Conduct Rule 5100 is true, complete and correct in all material respects.
Appears in 1 contract