NASD Affiliations. There are no affiliations with any NASD member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.
NASD Affiliations. To the Partnership’s knowledge, there are no affiliations or associations between any member of the National Association of Securities Dealers, Inc. (“NASD”) and any of the General Partner’s or DCP Midstream GP, LLC’s officers or directors, or the Partnership’s 5% or greater securityholders, except as set forth in the Prospectus.
NASD Affiliations. To the knowledge of the Partnership Entities, there are no affiliations or associations between (i) any member of the NASD and (ii) the Partnership, any of the General Partner’s officers or directors, any 5% or greater unitholders of the Partnership, or any beneficial owner of the Partnership’s unregistered equity securities that were acquired at any time on or after the 180th day immediately preceding the date the Registration Statement was initially filed with the Commission, except as set forth in the Pricing Prospectus;
NASD Affiliations. Except as described in the due diligence materials provided by the Company to the Placement Agent, neither the Company nor any Subsidiary nor any of their affiliates (within the meaning of NASD Conduct Rule 2720(b)(1)(a)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(e)(e) of the By-laws of the NASD) of, any member firm of the NASD.
NASD Affiliations. To the Company’s knowledge, there are no affiliations or associations between (i) any member of the NASD and (ii) the Company or any of the Company’s officers, directors or 5% or greater securityholders (other than Xxxx Xxxxxx and Xxxxxx Securities LLC) or any beneficial owner of the Company’s unregistered equity securities that were acquired from the Company at any time on or after the one hundred eightieth (180th) day immediately preceding the date the Registration Statement was initially filed with the Commission, except as set forth in the Registration Statement, the Disclosure Package and the Prospectus.
NASD Affiliations. Except as previously disclosed in writing by the Company to the Representative or in the Registration Statement, no officer, director or stockholder of the Company has any NASD affiliation and the Company has no management or financial consulting agreement with any third party.
NASD Affiliations. To the knowledge of the Company, there are no affiliations with any Financial Industry Regulatory Authority ("FINRA") member firm among the Company's officers, directors or any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus. In addition to the representations made in this Section 3 and in Section 4, as of the Closing Date, the Company hereby makes to R&R each of the representations and warranties made by the Company to the Purchasers in the Securities Purchase Agreement, as though restated in their entirety herein.
NASD Affiliations. To the Partnership’s knowledge, there are no affiliations or associations between any member of the National Association of Securities Dealers, Inc. (“NASD”) and any of the Partnership’s officers or directors or the Partnership’s 5% or greater securityholders, except as set forth in the Registration Statement, the Preliminary Prospectuses and the Prospectus. Any certificate signed by any officer of any Partnership Entity or EVMP and delivered to the Underwriters or to counsel for the Underwriters pursuant to this Agreement shall be deemed a representation and warranty by such Partnership Entity or EVMP to each Underwriter as to the matters covered thereby.
NASD Affiliations. Except as disclosed in the Prospectus, no officer or director of the Company has any affiliation or association with the NASD or any member thereof and upon inquiry of its stockholders beneficially owning five percent or more of the outstanding shares of Common Stock, the Company has been advised that no such stockholder has any such affiliation of association, except as disclosed in writing to the Representative.
NASD Affiliations. The undersigned represents that he or she is not directly or indirectly associated or affiliated with any member of the National Association of Securities Dealers, Inc.
