Common use of FINRA Matters Clause in Contracts

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related to FINRA matters by the Company and its officers and directors is true, complete and correct in all material respects.

Appears in 5 contracts

Samples: Underwriting Agreement (Xenon Pharmaceuticals Inc.), Underwriting Agreement (Xenon Pharmaceuticals Inc.), Underwriting Agreement (Xenon Pharmaceuticals Inc.)

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FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related to FINRA matters by the Company Company, and to the knowledge of the Company, its officers and directors in connection with letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 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 related to FINRA matters by the Company and Trust, its officers and directors trustees in connection with letters, filings or other supplemental information provided to FINRA pursuant to FINRA’s conduct rules is true, complete and correct in all material respects.

Appears in 3 contracts

Samples: Underwriting Agreement (BlackRock Multi-Sector Income Trust), Underwriting Agreement (BlackRock Build America Bond Trust), Underwriting Agreement (Guggenheim Build America Bonds Managed Duration Trust)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related by or on behalf of the Company, or, to FINRA matters its knowledge, by the Company and or on behalf of, its officers and directors directors, is true, complete, correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA by such parties pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct in all material respects.

Appears in 3 contracts

Samples: Underwriting Agreement (NeuroDerm Ltd.), Underwriting Agreement (NeuroDerm Ltd.), Underwriting Agreement (NeuroDerm Ltd.)

FINRA Matters. All of the information provided by or on behalf of the Company in writing to the Underwriters or to the Underwriters’ counsel specifically for the Underwriters related to FINRA matters use by the Company Underwriters’ counsel in connection with its FINRA Public Offering System filings (and its officers and directors related disclosure) with FINRA is true, complete and correct in all material respects.

Appears in 3 contracts

Samples: Underwriting Agreement (Nabriva Therapeutics PLC), Underwriting Agreement (Nabriva Therapeutics PLC), Underwriting Agreement (Nabriva Therapeutics AG)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related to FINRA matters by the Company and Company, its counsel, its officers and directors in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules is true, complete and correct in all material respectscorrect.

Appears in 3 contracts

Samples: Underwriting Agreement (VBI Vaccines Inc/Bc), Underwriting Agreement (VBI Vaccines Inc/Bc), Underwriting Agreement (VBI Vaccines Inc/Bc)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related to FINRA matters by the Company and its officers and directors in connection with the offering of the Offered Securities is true, complete and correct in all material respectscorrect.

Appears in 2 contracts

Samples: Underwriting Agreement (Evofem Biosciences, Inc.), Underwriting Agreement (Evofem Biosciences, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related to FINRA matters by the Company and its officers and directors in connection with the offering of the Offered Shares is true, complete and correct in all material respectscorrect.

Appears in 2 contracts

Samples: Underwriting Agreement (Evofem Biosciences, Inc.), Underwriting Agreement (Evofem Biosciences, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related to FINRA matters by the Company and its officers and directors in connection with the offering of the Securities is true, complete and correct in all material respectscorrect.

Appears in 2 contracts

Samples: Underwriting Agreement (Evofem Biosciences, Inc.), Underwriting Agreement (Evofem Biosciences, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related to FINRA matters by the Company Triangle Entities and its their respective officers and directors in connection with letters, filings or other supplemental information provided to the FINRA pursuant to the FINRA’s conduct rules is true, complete and correct in all material respectscorrect.

Appears in 2 contracts

Samples: Underwriting Agreement (Triangle Capital CORP), Underwriting Agreement (Triangle Capital CORP)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related by or on behalf of the Company is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA matters by the Company and its officers and directors pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct in all material respectscorrect.

Appears in 2 contracts

Samples: Underwriting Agreement (LogicBio Therapeutics, Inc.), Underwriting Agreement (LogicBio Therapeutics, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related to FINRA matters by the Company and and, to the knowledge of the Company, its officers and directors in connection with letters, filings or other supplemental information provided to FINRA pursuant to FINRA Conduct Rule 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 related to FINRA matters by the Company and its officers and directors Company, solely regarding the Company, in connection with the offering of the Offered Shares is true, complete and complete, correct in all material respectsand, to the Company’s knowledge, compliant with applicable FINRA rules.

Appears in 2 contracts

Samples: Underwriting Agreement (Global Ship Lease, Inc.), Underwriting Agreement (Global Ship Lease, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related to FINRA matters by the Company Triangle Entities and its their respective officers and directors in connection with letters, filings or other supplemental information provided to FINRA pursuant to FINRA’s conduct rules is true, complete and correct in all material respectscorrect.

Appears in 2 contracts

Samples: Underwriting Agreement (Triangle Capital CORP), Underwriting Agreement (Triangle Capital CORP)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related to FINRA matters by the Company and its officers and directors in connection with the offering of the Offered Shares is true, complete and complete, correct in all material respectsand, to the Company’s knowledge, compliant with FINRA rules.

Appears in 1 contract

Samples: Underwriting Agreement (Grindrod Shipping Holdings Ltd.)

FINRA Matters. All of the The information provided to the Underwriters or to counsel for the Underwriters related to FINRA matters by the Company Company, their counsel, and its their officers and directors for purposes of the Underwriters’ compliance with applicable Financial Industry Regulatory Authority (“FINRA”) rules in connection with the offering of the Securities is true, complete complete, and correct in all material respectsrespects and compliant with FINRA’s rules.

Appears in 1 contract

Samples: Underwriting Agreement (HOOKIPA Pharma Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related to FINRA matters by the Company and Company, its officers and directors in connection with letters, filings or other supplemental information provided to FINRA pursuant to FINRA Conduct Rule 2710 or 2720 is true, complete and correct in all material respectscorrect.

Appears in 1 contract

Samples: Underwriting Agreement (Metabolix, Inc.)

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FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related by the Trust and/or its officers or trustees in connection with letters, filings or other supplemental information provided to FINRA matters by the Company and its officers and directors pursuant to FINRA’s conduct rules is true, complete and correct in all material respects.

Appears in 1 contract

Samples: Underwriting Agreement (BlackRock Resources & Commodities Strategy Trust)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related to FINRA matters by the Company and Company, its counsel, its officers and directors is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules is true, complete and correct in all material respectscorrect.

Appears in 1 contract

Samples: Underwriting Agreement (Theratechnologies Inc.)

FINRA Matters. All of the information provided by or on behalf of the Company in writing to the Underwriters Underwriter or to the Underwriter’s counsel specifically for the Underwriters related to FINRA matters use by the Company Underwriter’s counsel in connection with its FINRA Public Offering System filings (and its officers and directors related disclosure) with FINRA is true, complete and correct in all material respects.

Appears in 1 contract

Samples: Underwriting Agreement (Nabriva Therapeutics AG)

FINRA Matters. All of the The information provided to the Underwriters or to counsel for the Underwriters related to FINRA matters by the Company Company, and its officers and directors for purposes of the Underwriters’ compliance with applicable FINRA rules in connection with the offering of the Offered Shares is true, complete complete, and correct in all material respectsand compliant with FINRA’s rules.

Appears in 1 contract

Samples: Underwriting Agreement (Enovix Corp)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related to FINRA matters by the Company and its officers and directors in connection with letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or NASD Conduct Rule 2720 is true, complete and correct in all material respectscorrect.

Appears in 1 contract

Samples: Underwriting Agreement (Caribou Coffee Company, Inc.)

FINRA Matters. All of the information provided to the Underwriters Underwriter or to counsel for the Underwriters related to FINRA matters Underwriter by the Company and Company, its officers and directors in connection with the offering of the Offered Shares is true, complete and correct in all material respects.

Appears in 1 contract

Samples: Underwriting Agreement (Papa Murphy's Holdings, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related to FINRA matters by the Company is true, complete, correct and its officers compliant in all material respects with Financial Industry Regulatory Authority, Inc.’s (“FINRA”) rules and directors any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct in all material respectscorrect.

Appears in 1 contract

Samples: Underwriting Agreement (Humacyte, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related to FINRA matters by the Company Company, the Issuers and its their respective officers and directors in connection with letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110, 5121 or 5190 is true, complete and correct in all material respects.

Appears in 1 contract

Samples: Underwriting Agreement (Sabra Health Care REIT, Inc.)

FINRA Matters. All of the information provided to the Underwriters Underwriter or to its counsel for the Underwriters related to FINRA matters by the Company is true, complete, correct in all material respects and its officers compliant with FINRA’s rules and directors any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct in all material respects.

Appears in 1 contract

Samples: Underwriting Agreement (Intrepid Potash, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters related to FINRA matters by the Company and Company, its counsel, its officers and directors in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA's rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA rules is true, complete and correct in all material respectscorrect.

Appears in 1 contract

Samples: Underwriting Agreement (Energy Fuels Inc)