Common use of No Association with FINRA Clause in Contracts

No Association with FINRA. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus, and except for Xxxxxxxx Xxxxx Capital, Inc., neither such Selling Stockholder nor, to the knowledge of such Selling Stockholder, any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.

Appears in 2 contracts

Samples: Underwriting Agreement (Houlihan Lokey, Inc.), Underwriting Agreement (Houlihan Lokey, Inc.)

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No Association with FINRA. Except as disclosed in the Registration Statement, the General Disclosure Package and Prospectus or as otherwise provided to the Prospectus, and except for Xxxxxxxx Xxxxx Capital, Inc.Underwriter, neither such Selling Stockholder nor, to the knowledge of such Selling Stockholder, nor any of his, her or its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-LawsBylaws) of FINRA.

Appears in 1 contract

Samples: Underwriting Agreement (HFF, Inc.)

No Association with FINRA. Except as disclosed described in the Registration Statement, the General Disclosure Package Package, the Prospectus and the Prospectus, and except for Xxxxxxxx Xxxxx Capital, Inc.FINRA Questionnaire provided by such Selling Shareholder, neither such Selling Stockholder nor, to the knowledge of such Selling Stockholder, Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.

Appears in 1 contract

Samples: Purchase Agreement (TMS International Corp.)

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No Association with FINRA. Except as disclosed in the Prospectus and the Registration Statement, the General Disclosure Package and the Prospectus, and except for Xxxxxxxx Xxxxx Capital, Inc., neither such Selling Stockholder nor, to the knowledge of such Selling Stockholder, nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I (dd) of the FINRA By-Laws) laws of the National Association of Securities Dealers, Inc.), any member firm of the FINRA.

Appears in 1 contract

Samples: Underwriting Agreement (Cgen Digital Media Co LTD)

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