FINRA Membership. You are a member, in good standing, of FINRA, and are duly registered as a broker-dealer under the 1934 Act, and under the laws of each state in which you propose to offer the Units, except where such registration would not be required by law.
Appears in 4 contracts
Samples: Sales Agency Agreement (Lm Funding America, Inc.), Sales Agency Agreement (Lm Funding America, Inc.), Sales Agency Agreement (Lm Funding America, Inc.)
FINRA Membership. You are a member, in good standing, of the Financial Industry Regulatory Authority (“FINRA”), and are duly registered as a broker-dealer under the 1934 Act, and under the laws of each state in which you propose to offer the UnitsShares, except where such registration would not be required by law.
Appears in 4 contracts
Samples: Placement Agreement (Wheeler Real Estate Investment Trust, Inc.), Placement Agreement (Wheeler Real Estate Investment Trust, Inc.), Placement Agreement (Homeowners Choice, Inc.)
FINRA Membership. You are a member, member in good standing, standing of the Financial Industry Regulatory Authority (“FINRA, ”) and are duly registered as a broker-dealer under the 1934 Act, and under the laws of each state in which you propose to offer the Units, except where such registration would not be required by law.
Appears in 1 contract
