FINRA Rules 5130 and 5131. This rule states that “restricted persons” are prohibited from participating in Syndicate or new issue offerings. Please review the following definition of a “restricted person” on Schedule A prior to signing this form acknowledging you do not fall into “restricted person” status. The undersigned hereby represents and warrants as of the date set forth below that:
i. The undersigned is the holder of the account identified below or is authorized to represent the beneficial holders of the account;
ii. Neither the undersigned nor any beneficial holder of the account is a “restricted person” as that term is described in FINRA Rule 5130 (described in Schedule A); and
iii. The undersigned understands FINRA Rule 5130 and the account is eligible to purchase new issues in compliance with such rule.
FINRA Rules 5130 and 5131. This rule states that "restricted persons" are prohibited from participating in Syndicate or new issue offerings. Please review the following definition of a "restricted person" on Schedule A prior to signing this form acknowledging you do not fall into "restricted person" status. The undersigned hereby represents and warrants as of the date set forth below that:
i. The undersigned is the holder of the account identified below or is authorized to represent the beneficial holders of the account;
ii. Neither the undersigned nor any beneficial holder of the account is a "restricted person" as that term is described in FINRA Rule 5130 (described in Schedule A); and
iii. the undersigned understands FINRA Rule 5130 and the account is eligible to purchase new issues in compliance with such rule. Investor’s Subscription accepted this ___ day of __________________________, 2017 By: Name: Title: Number of Shares: Address for Notice: Purchase Price per Share: $ Total Purchase Amount: $ c/x Xxxxxxx (Xxxxxxxxxxxxx) Xxxxxxxxxxx., Xxxxxxx Xxxxxxxxxx Xxxxxx, Xxxx Xxxxxxxx Xxxxxxxx, Xxxxxxxxx People’s Republic of China 523217 By: Name: ¨ DWAC DELIVERY DWAC Instructions: Name of DTC Participant (broker-dealer at which the account or accounts to be credited with the Shares are maintained): Name of Account at DTC Participant being credited with the Shares: Account Number at DTC Participant being credited with the Shares: ******Please ensure your broker-dealer initiates the DWAC on the Closing Date of the offering. Questions concerning the initiation of the DWAC should be addressed to Island Stock Transfer at 727-289-0010.****** ¨ PHYSICAL DELIVERY OF CERTIFICATES: Name in which Shares should be issued (full name no abbreviations): Address for delivery: SS# Street: City/State/Zip: Attention: Telephone No: ¨ HOLD SHARES AS BOOK-ENTRY POSITION: Name in which Shares should be issued (full name no abbreviations): Address Information: SS# Street: City/State/Zip: Attention: Telephone No:
a) FINRA Member Firms or other Broker/Dealers
b) Broker-Dealer Personnel
a. Any officer, director, General partner, associated person or employee of a member firm or any other Broker/dealer.
b. Any agent of a member firm or any other Broker/dealer that is engaged in the investment banking or securities business.
c. Any immediate family member of a person specified above. Immediate family members include a person's parents, mother-in-law or father-in-law, spouse, brother or sister, brother-in-law or ...
FINRA Rules 5130 and 5131. This rule states that "restricted persons" are prohibited from participating in Syndicate or new issue offerings. Please review the following definition of a "restricted person" on Schedule A prior to signing this form acknowledging you do not fall into '"restricted person" status. The undersigned hereby represents and warrants as of the date set forth below that:
i. The undersigned is the holder of the account identified below or is authorized to represent the beneficial holders of the account;
ii. Neither the undersigned nor any beneficial holder of the account is a "restricted person" as that term is described in FINRA Rule 5130 (described in Schedule A); and
iii. the undersigned understands FINRA Rule 5130 and the account is eligible to purchase new issues in compliance with such rule. Please email back the completed Subscription to __________________ or fax to _____________. If the foregoing correctly sets forth our agreement, please confirm this by signing and returning to us the duplicate copy of this Subscription. Number of Shares: ______________________ Wah Fu Education Group Limited Purchase Price per Share: $__________ By: Name: Aggregate Purchase Price: $______________ Title: Address Notice: INVESTOR: _____________________________________________ (Individual, Entity, Custodian, Trust or Beneficiary) Signature: _____________________________ Address: _______________________________ _____________________________________ Signer Name: ___________________________ _____________________________________ Title: __________________________________ Telephone No.: __________________________ _____________________________________ Tax ID # of Signer: _______________________ Email: _________________________________ ___________ DTC DELIVERY INSTRUCTIONS:
1. Name of DTC Participant (broker dealer at which the account or accounts to be credited with the Shares are maintained): _______________________________
