NASD Questionnaire Sample Clauses

NASD Questionnaire. In connection with the Registration Statement, the underwriters intend to make the requisite filings with the National Association of Securities Dealers, Inc. (the “NASD”). Certain information is required pursuant to NASD Rule 2720. Please note that the Company and the underwriters will rely on the certifications made in this Questionnaire. 1. Please indicate below whether you have any information pertaining to underwriting compensation and arrangements or items of value received or to be received by any “underwriter or related person” (as defined on page 28 of this Questionnaire) or any dealings between any “underwriter or related person” or any “member” (as defined on page 27 of this Questionnaire) or “person associated with a member” (as defined on page 27 of this Questionnaire) on the one hand, and the Company, its officers, directors, employees or shareholders on the other hand, other than information relating to the proposed offering of the Securities by the Company. þ I know of no such information oI know of such information 2. Are you or any member of your immediate family affiliated or associated, directly or indirectly, with a “member” of the NASD or with a “person associated with a member” of the NASD?”3 If so, please identify such “member” of the NASD or “person associated with a member” of the NASD and provide the name, address and telephone number of the NASD member or members and a detailed description of your association or affiliation. Description: If you answered yes to Question Number 2, please state whether you are participating in the initial public offering and the capacity in which you are participating. 3 If you are a collective investment account, meaning a hedge fund, investment partnership, investment corporation, or any other collective investment vehicle, a “No” reply shall be assumed to confirm that no relationship exists for you as well as each of your investors. 3. If you answered yes to the preceding question, please provide the information requested below with respect to the number of equity securities or the face value of debt securities of the Company or any subsidiary thereof which you beneficially own (including any contracts far purchase or acquisition). 4. Do you own stock or other securities of any NASD member not purchased in the open market? If you answered yes to the preceding question, please state the name of the NASD member or members and describe the securities. 5. Have you entered into any arrangements withi...
Sample 1See All (5)
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NASD Questionnaire. (a) Are you a member(1) of the NASD, a person associated with a member(2) of the NASD, or an affiliate of a member? Yes No X If “Yes,” please list any members of the NASD with whom you are associated or affiliated. (1) The NASD defines a “member” as being either any broker or dealer admitted to membership in the NASD or any officer or partner of such a member, or the executive representative of such a member or the substitute for such representative. (2) The NASD defines a “person associated with a member” as being every sole proprietor, general or limited partner, officer, director or branch manager or such member, or any natural person occupying a similar status or performing similar functions, or any natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by such member (for example, any employee), whether or not any such person is registered or exempt from registration without the NASD. Thus, “person associated with a member” includes a sole proprietor, general or limited partner, officer, director or branch manager or an organization of any kind (whether a corporation, partnership or other business entity) which itself is a “member” or a “person associated with a member.” In addition, an organization of any kind is a “person associated with a member” if its sole proprietor or anyone of its general or limited partners, officers, director or branch managers is a “member” or “person associated with a member.” (b) If you are a corporation are any of your officers, directors or 5% shareholders a member of the NASD, a person associated with a member of the NASD or an affiliate of a member? Yes No If “Yes,” please list the name of the respective officer, director, or 5% share holder and any members of the NASD with whom they are associated of affiliated
Sample 1
NASD Questionnaire. (a) Are you a member of the NASD,(1) a person associated with a member(2) of the NASD, or an affiliate of a member? Yes No ----- ----- If "Yes," please list any members of the NASD 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 the NASD, a person associated with a member of the NASD, 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 the NASD with whom they are associated or affiliated. ----------------------------------------------------------------------- ----------------------------------------------------------------------- ----------------------------------------------------------------------- (1) The NASD defines a "member" as being either any broker or dealer admitted to membership in the NASD or any officer or partner of such a member, or the executive representative of such a member or the substitute for such representative. (2) The NASD defines a "person associated with a member" as being every sole proprietor, general or limited partner, officer, director or branch manager or such member, or any natural person occupying a similar status or performing similar functions, or any natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by such member (for example, any employee), whether or not any such person is registered or exempt from registration without the NASD. Thus, "person associated with a member" includes a sole proprietor, general or limited partner, officer, director or branch manager or an organization of any kind (whether a corporation, partnership or other business entity) which itself is a "member" or a "person associated with a member." In addition, an organization of any kind is a "person associated with a member" if its sole proprietor or anyone of its general or limited partners, officers, director or branch managers is a "member" or "person associated with a member."
Sample 1
NASD Questionnaire. In connection with the proposed public offering of Securities of the Company and the requirements of the National Association of Securities Dealers, Inc. ("NASD") as they relate to the underwriting terms of such offering, the undersigned, a shareholder, an officer, or a director of the Company, hereby represents to you as follows:
Sample 1
NASD Questionnaire. In connection with the proposed public offering of Securities of the Company and the requirements of the National Association of Securities Dealers, Inc. (“NASD”) as they relate to the underwriting terms of such offering, the undersigned, a stockholder, an officer, or a director of the Company (or a person or entity that will hold such capacity on the Effective Date), hereby represents to you as follows:
Sample 1
NASD Questionnaire. Each Investor and all shareholders shall ------------------ have completed, executed and delivered the NASD Questionnaire in substantially the form attached to this Agreement as Exhibit K (the "NASD Questionnaire"). ---------
Sample 1
NASD Questionnaire. (a) Are you a member of the NASD,(1) a person associated with a member(2) of the NASD, or an affiliate of a member? Yes _________ No _________ If "Yes," please list any members of the NASD 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 the NASD, a person associated with a member of the NASD, 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 the NASD with whom they are associated or affiliated. ______________________________________________________________
Sample 1
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Related to NASD Questionnaire

  • Underwriters’ Questionnaire Your acceptance of the Invitation Wire for an Offering or your participation in an Offering as an Underwriter will confirm that you have no exceptions to the Underwriters’ Questionnaire attached as Exhibit A hereto (or to any other questions addressed to you in any Wires relating to the Offering previously sent to you), other than exceptions noted by you In Writing in connection with the Offering and received from you by us before the time specified in the Invitation Wire or any subsequent Wire.

  • REGISTRATION STATEMENT QUESTIONNAIRE In connection with the preparation of the Registration Statement, please provide us with the following information:

  • QUESTIONNAIRE Full Legal Name of Selling Securityholder:

  • Investor Questionnaire The undersigned represents and warrants to the Company that all information that the undersigned has provided to the Company, including, without limitation, the information in the Investor Questionnaire attached hereto or previously provided to the Company (the “Investor Questionnaire”), is correct and complete as of the date hereof.

  • D&O Questionnaires To the Company’s knowledge, all information contained in the questionnaires completed by each of the Company’s directors and officers immediately prior to the Offering as well as in the Lock-Up Agreement provided to the Underwriters is true and correct in all respects and the Company has not become aware of any information which would cause the information disclosed in such questionnaires become inaccurate and incorrect.

  • Interest Questionnaire - Form CIQ No response Do not upload this form unless you have a reportable conflict with TIPS. There is an Attribute entitled “Conflict of Interest Questionnaire Requirement” immediately followed by an Attribute entitled “Conflict of Interest Questionnaire Requirement – Form CIQ – Continued.” Properly respond to those Attributes and only upload this form if applicable/instructed. If upload is required based on your response to those Attributes, the Conflict of Interest Questionnaire – Form CIQ must be downloaded from the “Attachments” section of the IonWave eBid System, reviewed, properly completed, and uploaded at this location.

  • ACCREDITED INVESTOR QUESTIONNAIRE In order for the Company to offer and sell the Securities in conformance with state and federal securities laws, the following information must be obtained regarding your investor status. Please initial each category applicable to you as a Purchaser of Securities of the Company. (1) A bank as defined in Section 3(a)(2) of the Securities Act, or any savings and loan association or other institution as defined in Section 3(a)(5)(A) of the Securities Act whether acting in its individual or fiduciary capacity; (2) A broker or dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934; (3) An insurance company as defined in Section 2(13) of the Securities Act; (4) An investment company registered under the Investment Company Act of 1940 or a business development company as defined in Section 2(a)(48) of that Act; (5) A Small Business Investment Company licensed by the U.S. Small Business Administration under Section 301(c) or (d) of the Small Business Investment Act of 1958; (6) A plan established and maintained by a state, its political subdivisions, or any agency or instrumentality of a state or its political subdivisions, for the benefit of its employees, if such plan has total assets in excess of $5,000,000; (7) An employee benefit plan within the meaning of the Employee Retirement Income Security Act of 1974, if the investment decision is made by a plan fiduciary, as defined in Section 3(21) of such act, which is either a bank, savings and loan association, insurance company, or registered investment adviser, or if the employee benefit plan has total assets in excess of $5,000,000 or, if a self-directed plan, with investment decisions made solely by persons that are accredited investors; (8) A private business development company as defined in Section 202(a)(22) of the Investment Advisers Act of 1940; (9) An organization described in Section 501(c)(3) of the Internal Revenue Code, a corporation, Massachusetts or similar business trust, or partnership, not formed for the specific purpose of acquiring the Securities, with total assets in excess of $5,000,000; (10) A trust, with total assets in excess of $5,000,000, not formed for the specific purpose of acquiring the Securities, whose purchase is directed by a sophisticated person who has such knowledge and experience in financial and business matters that such person is capable of evaluating the merits and risks of investing in the Company; (11) A natural person whose individual net worth, or joint net worth with that person’s spouse, at the time of his purchase exceeds $1,000,000; (12) A natural person who had an individual income in excess of $200,000 in each of the two most recent years, or joint income with that person’s spouse in excess of $300,000, in each of those years, and has a reasonable expectation of reaching the same income level in the current year; (13) An executive officer or director of the Company; (14) An entity in which all of the equity owners qualify under any of the above subparagraphs. If the undersigned belongs to this investor category only, list the equity owners of the undersigned, and the investor category which each such equity owner satisfies. A. FOR EXECUTION BY AN INDIVIDUAL: B. FOR EXECUTION BY AN ENTITY:

  • Conflict of Interest Questionnaire Chapter 176 of the Texas Local Government Code requires contractors contracting or seeking to contract with H-GAC to file a conflict of interest questionnaire (CIQ) if they have an employment or other business relationship with an H-GAC officer or an officer’s close family member. The required questionnaire and instructions are located on the H-GAC website or at the Texas Ethics Commission website xxxxx://xxx.xxxxxx.xxxxx.xx.xx/forms/CIQ.pdf. H-GAC officers include its Board of Directors and Executive Director, who are listed on this website. Respondent must complete and file a CIQ with the Texas Ethics Commission if an employment or business relationship with H-GAC office or an officer’s close family member as defined in the law exists.

  • Conflict of Interest Questionnaire - Form CIQ No response Do not upload this form unless you have a reportable conflict with TIPS. There is an Attribute entitled “Conflict of Interest Questionnaire Requirement” immediately followed by an Attribute entitled “Conflict of Interest Questionnaire Requirement – Form CIQ – Continued.” Properly respond to those Attributes and only upload this form if applicable/instructed. If upload is required based on your response to those Attributes, the Conflict of Interest Questionnaire – Form CIQ must be downloaded from the “Attachments” section of the IonWave eBid System, reviewed, properly completed, and uploaded at this location.

  • Conflict of Interest Questionnaire Requirement - Form CIQ - Continued If you responded "No, Vendor does not certify - VENDOR HAS CONFLICT" to the Conflict of Interest Questionnaire question above, you are required by law to fully execute and upload the form attachment entitled "Conflict of Interest Questionnaire - Form CIQ." If you accurately claimed no conflict above, you may disregard the form attachment entitled "Conflict of Interest Questionnaire - Form CIQ." Have you uploaded this form if applicable? Not Applicable

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