No FINRA Affiliations. The Company (i) is not required to register as a “broker” or “dealer” in accordance with the provisions of the Exchange Act or the rules and regulations thereunder, and (ii) directly, or indirectly through one or more intermediaries, does not control any member firm of FINRA.
Appears in 5 contracts
Samples: Distribution Agreement (Ram Energy Resources Inc), Distribution Agreement (Sonic Solutions/Ca/), Dealer Manager Agreement (Oilsands Quest Inc)
