FINRA Registration. Neither the Company nor any of its affiliates (i) is required to register as a “broker” or “dealer” in accordance with the provisions of the Exchange Act or (ii) directly or indirectly through one or more intermediaries, controls or has any other association with (within the meaning of Article I of the Bylaws of the Financial Industry Regulatory Authority (“FINRA”)) any member firm of FINRA.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Two Harbors Investment Corp.), Equity Distribution Agreement (Two Harbors Investment Corp.)
FINRA Registration. Neither None of the Company nor or any of its the Subsidiaries or any of their respective affiliates (i) is required to register as a “broker” or “dealer” in accordance with the provisions of the Exchange Act Act, or the rules and regulations thereunder, or (ii) directly directly, or indirectly through one or more intermediaries, controls or has any other association with (within the meaning of Article I of the Bylaws of the Financial Industry Regulatory Authority (“FINRA”)) any member firm of FINRA.
Appears in 2 contracts
Samples: Common Stock (Turning Point Brands, Inc.), Sales Agreement (Turning Point Brands, Inc.)
