Common use of No Broker or Dealer Clause in Contracts

No Broker or Dealer. Neither the Company nor any of its Subsidiaries (A) is required to register as a “broker” or “dealer” in accordance with the provisions of the 1934 Act or the 1934 Act Regulations, or (B) directly, or indirectly through one or more intermediaries, controls or has any other association (within the meaning of Article I of the By-laws of the Financial Industry Regulatory Authority (“FINRA”)) with any member firm of FINRA.

No Broker or Dealer. Neither the Company nor any of its Subsidiaries (A) is required to register as a “broker” or “dealer” in accordance with the provisions of the 1934 Act or the 1934 Act Regulations, or (B) directly, or indirectly through one or more intermediaries, controls or has any other association (within the meaning of Article I of the By-laws Bylaws of the Financial Industry Regulatory Authority (“FINRA”)) with any member firm of FINRA.

No Broker or Dealer. Neither the Company nor any of its Subsidiaries affiliates (A) is required to register as a “broker” or “dealer” in accordance with the provisions of the 1934 Act or the 1934 Act Regulations, or (B) directly, or indirectly through one or more intermediaries, controls or has any other association (within the meaning of Article I of the By-laws of the Financial Industry Regulatory Authority (“FINRA”)) with any member firm of FINRA.

No Broker or Dealer. Neither the Company nor any of its Subsidiaries affiliates (A) is required to register as a “broker” or “dealer” in accordance with the provisions of the 1934 Act or the 1934 Act Regulations, or (B) directly, or indirectly through one or more intermediaries, controls or has any other association (within the meaning of Article I of the By-laws of the Financial Industry Regulatory Authority (“FINRA”)) FINRA with any member firm of FINRA.