No Association with FINRA. Except for X.X. Xxxxxxx and Company and its affiliates and as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus, neither the Company nor, to its knowledge, any of its affiliates (A) is required to register as a “broker” or “dealer” in accordance with the provisions of the 1934 Act or the rules and regulations thereunder, or (B) directly, or indirectly through one or more intermediaries, controls or is under common control with any member firm of FINRA.
Appears in 6 contracts
Samples: Underwriting Agreement (Physicians Realty Trust), Underwriting Agreement (Physicians Realty Trust), Underwriting Agreement (Physicians Realty Trust)
No Association with FINRA. Except for X.X. Xxxxxxx and Company and its affiliates and as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus, neither the Company nor, to its knowledge, any of its affiliates (A) is required to register as a “broker” or “dealer” in accordance with the provisions of the 1934 Act or the rules and regulations thereunder, or (B) directly, or indirectly through one or more intermediaries, controls or is under common control with any member firm of FINRA.
Appears in 1 contract
Samples: Physicians Realty Trust
