FINRA Questionnaire Clause Samples
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FINRA Questionnaire. If such Selling Shareholder was requested to complete a “FINRA Questionnaire,” the written response to such document provided by such Selling Shareholder to counsel for the Underwriters is true, correct and complete in all material respects.
FINRA Questionnaire. (a) Are you a member of FINRA(1), a person associated with a member of FINRA(2), or an affiliate of a member? Yes No -------- -------- If "Yes," please list any members of FINRA with whom you are associated or affiliated. -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- --------------------------------------------------------------------------------
FINRA Questionnaire. If the Subscriber is a member of FINRA, a person associated with a member of FINRA, or an affiliate of a member, please fill out the FINRA Questionnaire that is attached to this agreement as Appendix B. For a definition of those terms, please refer to the Questionnaire.
FINRA Questionnaire. (a) Are you a member of FINRA1, a person associated with a member of FINRA2, or an affiliate of a member? Yes No
FINRA Questionnaire. (a) Are you a member of FINRA1, a person associated with a member of FINRA2, or an affiliate of a member? Yes _______ No_______ If "Yes," please list any members of FINRA with whom you are associated or affiliated.
(b) If you are a corporation, are any of your officers, directors or 5% shareholders a member of FINRA, a person associated with a member of FINRA, or an affiliate of a member? Yes _______ No_______ If "Yes," please list the name of the respective officer, director, or 5% shareholder and any members of FINRA with whom they are associated or affiliated.
FINRA Questionnaire. The Buyer shall have completed, executed and delivered to the Company the Financial Industry Regulatory Authority questionnaire in the form delivered to Buyer by the Underwriters.