Common use of No Broker-Dealer Affiliation Clause in Contracts

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries or any of their respective officers, directors or 10% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 8 contracts

Samples: Underwriting Agreement (HomesToLife LTD), Underwriting Agreement (HomesToLife LTD), Underwriting Agreement (YSX Tech Co., LTD)

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No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries Controlled Entities or any of their respective officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 8 contracts

Samples: Underwriting Agreement (DDC Enterprise LTD), Underwriting Agreement (DDC Enterprise LTD), Underwriting Agreement (DDC Enterprise LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries or any of their respective officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 7 contracts

Samples: Underwriting Agreement (Harden Technologies Inc.), Underwriting Agreement (Harden Technologies Inc.), Underwriting Agreement (YY Group Holding Ltd.)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries or and Consolidated Affiliated Entities or, to the knowledge of the Company, any of their respective officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 5 contracts

Samples: Sales Agreement (Burning Rock Biotech LTD), Underwriting Agreement (Burning Rock Biotech LTD), Underwriting Agreement (Burning Rock Biotech LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries or any of their respective officers, directors or 105% or greater security holders securityholders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 5 contracts

Samples: Underwriting Agreement (APRINOIA Therapeutics Inc.), Underwriting Agreement (APRINOIA Therapeutics Inc.), Underwriting Agreement (Ispire Technology Inc.)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA the Financial Industry Regulatory Authority (the “FINRA”) and (ii) the Company or any of its Subsidiaries subsidiaries and variable interest entities or any of their respective officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with first submitted to the Commission.

Appears in 3 contracts

Samples: Underwriting Agreement (Boqii Holding LTD), Underwriting Agreement (CooTek(Cayman)Inc.), Underwriting Agreement (PPDAI Group Inc.)

No Broker-Dealer Affiliation. There To the Company’s knowledge, there are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries Controlled Entities or any of their respective officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 3 contracts

Samples: Underwriting Agreement (JIADE LTD), Underwriting Agreement (JIADE LTD), Underwriting Agreement (JIADE LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any participating member of FINRA as defined under FINRA Rule 5110 and (ii) the Company or any of its Subsidiaries and Affiliated Entities or any of their respective officers, directors or 10or, to the best knowledge of the Company, 5% or greater security holders or or, to the best knowledge of the Company, any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 3 contracts

Samples: Underwriting Agreement (iClick Interactive Asia Group LTD), Underwriting Agreement (iClick Interactive Asia Group LTD), Underwriting Agreement (iClick Interactive Asia Group LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries Controlled Entities or any of their respective officers, directors or 10% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 2 contracts

Samples: Underwriting Agreement (Nature Wood Group LTD), Underwriting Agreement (Nature Wood Group LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA the Financial Industry Regulatory Authority, Inc. (“FINRA”) and (ii) the Company or any of its Subsidiaries or any of their respective the Company’s officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 2 contracts

Samples: Underwriting Agreement (Global Market Group LTD), Underwriting Agreement (Global Market Group LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries or and Affiliated Entities or, to the knowledge of the Company, any of their respective officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 2 contracts

Samples: Underwriting Agreement (Bright Scholar Education Holdings LTD), Underwriting Agreement (Bright Scholar Education Holdings LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries or any of their respective officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 2 contracts

Samples: Underwriting Agreement (Nano Labs LTD), Underwriting Agreement (Nano Labs LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA FINRA, and (ii) the Company or any of its Subsidiaries or any of their respective the Company’s officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially first filed with the Commission.

Appears in 2 contracts

Samples: Underwriting Agreement (Uxin LTD), Underwriting Agreement (Sogou Inc.)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries or any of their respective the Company’s officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission., except as disclosed in the Registration Statement (excluding the exhibits thereto), the Disclosure Package and the Prospectus;

Appears in 2 contracts

Samples: Underwriting Agreement (STUDIO CITY INTERNATIONAL HOLDINGS LTD), Underwriting Agreement (STUDIO CITY INTERNATIONAL HOLDINGS LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries subsidiaries or Affiliated Entities or any of their respective officers, directors or 10or, to the knowledge of the Company, 5% or greater security holders or or, to the knowledge of the Company, any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 2 contracts

Samples: Equity Underwriting and Notes Exchange Agreement (Bilibili Inc.), Underwriting Agreement (Bilibili Inc.)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA the Financial Industry Regulatory Authority, Inc. (the “FINRA”) and (ii) the Company or any of its Subsidiaries the officers or any directors of their respective officersthe Company or the Subsidiaries, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 2 contracts

Samples: Underwriting Agreement (SinoTech Energy LTD), Underwriting Agreement (SinoTech Energy LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of the FINRA and (ii) the Company or any of its Subsidiaries or any of their respective the Company’s officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with first submitted to the Commission.

Appears in 2 contracts

Samples: Underwriting Agreement (58.com Inc.), Underwriting Agreement (58.com Inc.)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries and Affiliated Entities or any of their respective officersofficers or directors or, directors or 10to the knowledge of the Company, any of their respective 5% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Puxin LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of the FINRA and (ii) the Company or any of its Subsidiaries and Affiliated Entities or any of their respective officers, directors or 10or, to the best knowledge of the Company, 5% or greater security holders or or, to the best knowledge of the Company, any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (ECMOHO LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries subsidiaries and consolidated affiliated entities or any of their respective officers, directors or 10or, to the Company’s knowledge, 5% or greater security holders or shareholders or, to the Company’s knowledge, any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with submitted to the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Secoo Holding LTD)

No Broker-Dealer Affiliation. There Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus, there are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of the officers or directors of the Company or its Subsidiaries Subsidiaries, or any holders of their respective officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (iKang Healthcare Group, Inc.)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries or or, to the best knowledge of the Company, any of their respective officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Opera LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries or or, to the best knowledge of the Company, any of their respective officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.Commission.(ggg)

Appears in 1 contract

Samples: Underwriting Agreement (Opera LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any participating member of (as defined in FINRA Rule 5110) and (ii) the Company or any of its Subsidiaries or any of their respective the Company’s officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with first submitted to the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (China Rapid Finance LTD)

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No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries or any of their respective officers, directors or 10or, to the knowledge of the Company, 5% or greater security holders or or, to the knowledge of the Company, any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with submitted to the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Yalla Group LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) to the best knowledge of the Company, the Company or any of its Subsidiaries and Affiliated Entities or any of their respective officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Youdao, Inc.)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries or and Consolidated Affiliated Entities or, any of their respective officers, directors or or, to the best knowledge of the Company, 10% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (YXT.COM GROUP HOLDING LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries or Affiliated Entities or any of their respective officers, directors or 10or, to the best knowledge of the Company, 5% or greater security holders or or, to the best knowledge of the Company, any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (DouYu International Holdings LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries and Affiliated Entities or any of their respective officers, directors or 10or, to the knowledge of the Company, any of their respective 5% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (X Financial)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries or and Consolidated Affiliated Entities or, to the knowledge of the Company, any of their respective officers, directors or 10% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Tuya Inc.)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries and Affiliated Entities or any of their respective officers, directors or 10or, to the knowledge of the Company, 5% or greater security holders or or, to the knowledge of the Company, any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (China Online Education Group)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries subsidiaries or any of their respective officers, directors or 10or, to the Company’s knowledge, 5% or greater security holders or shareholders or, to Company’s knowledge, any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Yintech Investment Holdings LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries or Affiliated Entity or any of their respective officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Aspire Global Inc.)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries or or, to the knowledge of the Company, any of their respective officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Dingdong (Cayman) LTD)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries and Affiliated Entities or any of their respective officers, directors or 10or, to the best knowledge of the Company, 5% or greater security holders or or, to the best knowledge of the Company, any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Weidai Ltd.)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries or and Affiliated Entities or, any of their respective officers, directors or 10or, to the best knowledge of the Company, 5% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Qutoutiao Inc.)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries and Affiliated Entity or any of their respective officers, directors or 10or, to the knowledge of the Company, 5% or greater security holders or or, to the best knowledge of the Company, any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Baozun Inc.)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA the Financial Industry Regulatory Authority (the “FINRA”) and (ii) the Company or any of its Subsidiaries or any of their respective the Company’s officers, directors or 105% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with first submitted to the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Tuniu Corp)

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of the FINRA and (ii) the Company or any of its Subsidiaries or any of their respective officers, directors or 10or, to the best knowledge of the Company any of their respective 5% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180 days 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Molecular Data Inc.)

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