Common use of No Stop Orders, etc Clause in Contracts

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1006 contracts

Samples: Underwriting Agreement (Roadzen Inc.), Underwriting Agreement (Callan JMB Inc.), Underwriting Agreement (Epsium Enterprise LTD)

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No Stop Orders, etc. Neither the Commission nor, to the best of the Company’s knowledge, any state regulatory authority has issued any order or threatened to issue any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the best of the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 298 contracts

Samples: Underwriting Agreement (Rising Dragon Acquisition Corp.), Underwriting Agreement (YHN Acquisition I LTD), Underwriting Agreement (YHN Acquisition I LTD)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, assuming reasonable inquiry, any state federal, state, or other regulatory authority has issued any order or threatened to issue any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus, the Sale Preliminary Prospectus, or Prospectus or the Prospectus any part thereof, or has instituted or, to the Company’s knowledge, assuming reasonable inquiry, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 223 contracts

Samples: Underwriting Agreement (Mountain Lake Acquisition Corp.), Underwriting Agreement (Mountain Lake Acquisition Corp.), Underwriting Agreement (K&f Growth Acquisition Corp. Ii)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, assuming reasonable inquiry, any federal, state or other regulatory authority has issued any order or threatened to issue any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus, the Statutory Prospectus or the Prospectus or any part thereof, or has instituted or, to the Company’s knowledge, assuming reasonable inquiry, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 214 contracts

Samples: Underwriting Agreement (ChampionsGate Acquisition Corp), Underwriting Agreement (CO2 Energy Transition Corp.), Underwriting Agreement (GSR III Acquisition Corp.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order or threatened to issue any order preventing or suspending the use effectiveness of the Registration Statement, Statement or the use of any Preliminary Prospectus, the Prospectus or the Prospectus any part thereof, or has instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from order including, without limitation, pursuant to Section 8A of the Commission for additional informationAct.

Appears in 181 contracts

Samples: Underwriting Agreement (ONS Acquisition Corp.), Underwriting Agreement (Investcorp India Acquisition Corp), Underwriting Agreement (Twelve Seas Investment Co IV TMT)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, assuming reasonable inquiry, any federal, state or other regulatory authority has issued any order or threatened to issue any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus, the Sale Preliminary Prospectus or the Prospectus or any part thereof, or has instituted or, to the Company’s knowledge, assuming reasonable inquiry, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 155 contracts

Samples: Underwriting Agreement (Plum Acquisition Corp, IV), Underwriting Agreement (Plum Acquisition Corp, IV), Underwriting Agreement (FACT II Acquisition Corp.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any written order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 106 contracts

Samples: Underwriting Agreement (GATES GROUP Inc.), Underwriting Agreement (rYojbaba Co., Ltd.), Underwriting Agreement (Metros Development Co., Ltd.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s 's knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s 's knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 66 contracts

Samples: Underwriting Agreement (GREENPOWER MOTOR Co INC.), Placement Agency Agreement (KWESST Micro Systems Inc.), Placement Agency Agreement (Cheetah Net Supply Chain Service Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, nor any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 53 contracts

Samples: Underwriting Agreement (Diginex LTD), Underwriting Agreement (Diginex LTD), Underwriting Agreement (ZJK Industrial Co., Ltd.)

No Stop Orders, etc. Neither the Commission nor, to the best of the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of any preliminary prospectus (“Preliminary Prospectus”), the Registration Statement, any Preliminary Prospectus or the Prospectus Registration Statement or has instituted or, to the best of the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 41 contracts

Samples: Underwriting Agreement (CTRL GROUP LTD), Underwriting Agreement (ORIENTAL RISE HOLDINGS LTD), Underwriting Agreement (Baiya International Group Inc.)

No Stop Orders, etc. Neither the Commission nor, to the best of the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus Registration Statement or has instituted or, to the best of the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 37 contracts

Samples: Underwriting Agreement (Fuling Global Inc.), Underwriting Agreement (Fuling Global Inc.), Underwriting Agreement (Fuling Global Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of any preliminary prospectus (“Preliminary Prospectus”), the Registration Statement, any Preliminary Prospectus or the Prospectus Registration Statement or has instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 28 contracts

Samples: Underwriting Agreement (Webus International Ltd.), Underwriting Agreement (SAMFINE CREATION HOLDINGS GROUP LTD), Underwriting Agreement (SAMFINE CREATION HOLDINGS GROUP LTD)

No Stop Orders, etc. Neither the Commission nor, to the best of the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the best of the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 26 contracts

Samples: Underwriting Agreement (Stemline Therapeutics Inc), Underwriting Agreement (Stemline Therapeutics Inc), Underwriting Agreement (Stemline Therapeutics Inc)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, nor any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, or threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 25 contracts

Samples: Underwriting Agreement (Trident Digital Tech Holdings LTD), Underwriting Agreement (Trident Digital Tech Holdings LTD), Underwriting Agreement (Trident Digital Tech Holdings Ltd.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration StatementStatutory Prospectus, any Preliminary Prospectus or the Prospectus Registration Statement or has instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 19 contracts

Samples: Underwriting Agreement (Cue Biopharma, Inc.), Underwriting Agreement (Pulse Biosciences, Inc.), Underwriting Agreement (Pulse Biosciences, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus Statement or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 17 contracts

Samples: Atm Sales Agreement (Vision Marine Technologies Inc.), Underwriting Agreement (Eltek LTD), Underwriting Agreement (Fat Brands, Inc)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional informationinformation with respect to the Registration Statement, any Preliminary Prospectus or the Prospectus.

Appears in 15 contracts

Samples: Underwriting Agreement (Nuvve Holding Corp.), Underwriting Agreement (Bynd Cannasoft Enterprises Inc.), Underwriting Agreement (GlucoTrack, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus Registration Statement or has instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 13 contracts

Samples: Selling Agent Agreement (Alliance MMA, Inc.), Selling Agent Agreement (Alliance MMA, Inc.), Underwriting Agreement (U.S. Rare Earths, Inc)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) regarding the Registration Statement, any Preliminary Prospectus or the Prospectus from the Commission for additional information.

Appears in 12 contracts

Samples: Underwriting Agreement (Aytu Bioscience, Inc), Underwriting Agreement (Pressure Biosciences Inc), Underwriting Agreement (Catasys, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the best of the Company’s knowledge, any state regulatory authority has issued any order or threatened to issue any order preventing or suspending the effectiveness of the Registration Statement or the use of the Registration Statement, any Preliminary Prospectus or the Prospectus Prospectus, or has instituted or, to the best of the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 9 contracts

Samples: Underwriting Agreement (Shermen WSC Acquisition Corp), Underwriting Agreement (Shermen WSC Acquisition Corp), Underwriting Agreement (Acquicor Technology Inc)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration StatementPreliminary Prospectus, any Preliminary the Prospectus or the Prospectus Registration Statement or has instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 9 contracts

Samples: Underwriting Agreement (Journey Medical Corp), Underwriting Agreement (Movano Inc.), Underwriting Agreement (Movano Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, assuming reasonable inquiry, any foreign, federal, state or other regulatory authority has issued any order or threatened to issue any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus, the Statutory Prospectus or the Prospectus or any part thereof, or has instituted or, to the Company’s knowledge, assuming reasonable inquiry, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 8 contracts

Samples: Underwriting Agreement (Love & Health LTD), Underwriting Agreement (Love & Health LTD), Underwriting Agreement (Prospect Energy Holdings Corp.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus Prospectus, or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 8 contracts

Samples: Underwriting Agreement (Aureus Greenway Holdings Inc), Underwriting Agreement (Top Wealth Group Holding LTD), Underwriting Agreement (Top Wealth Group Holding LTD)

No Stop Orders, etc. Neither None of the Commission norCommission, any federal, state or other regulatory authority has issued, or, to the Company’s knowledge, any state regulatory authority has issued after reasonable inquiry, threatened to issue, any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus, the Statutory Prospectus or the Prospectus or any part thereof, or has instituted or, to the Company’s knowledge, after reasonable inquiry, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 8 contracts

Samples: Underwriting Agreement (Global Robotic Drone Acquisition Corp.), Underwriting Agreement (Technology & Telecommunication Acquisition Corp), Underwriting Agreement (Technology & Telecommunication Acquisition Corp)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, nor any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, the ADS Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 8 contracts

Samples: Underwriting Agreement (Graphex Group LTD), Underwriting Agreement (TC BioPharm (Holdings) PLC), Underwriting Agreement (TC BioPharm (Holdings) PLC)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, the ADS Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 8 contracts

Samples: Underwriting Agreement (Immuron LTD), Underwriting Agreement (Immuron LTD), Underwriting Agreement (Foresight Autonomous Holdings Ltd.)

No Stop Orders, etc. Neither the Commission nor, to the best of the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any preliminary prospectus (“Preliminary Prospectus Prospectus”) or the Prospectus (collectively, the “Disclosure Materials”) or has instituted or, to the best of the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 6 contracts

Samples: Underwriting Agreement (Luda Technology Group LTD), Underwriting Agreement (Luda Technology Group LTD), Underwriting Agreement (Ming Shing Group Holdings LTD)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any domestic, foreign or state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 6 contracts

Samples: Underwriting Agreement (Biolase, Inc), Underwriting Agreement (Biolase, Inc), Underwriting Agreement (Acasti Pharma Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, the Form F-6, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 6 contracts

Samples: Underwriting Agreement (Wing Yip Food Holdings Group LTD), Underwriting Agreement (Wing Yip Food Holdings Group LTD), Underwriting Agreement (Wing Yip Food Holdings Group LTD)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any written order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied in all material respects with each request (if any) from the Commission for additional information.

Appears in 5 contracts

Samples: Underwriting Agreement (CaliberCos Inc.), Underwriting Agreement (CaliberCos Inc.), Underwriting Agreement (CaliberCos Inc.)

No Stop Orders, etc. Neither To the Company's knowledge, neither the Commission nor, to the Company’s knowledge, nor any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s 's knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 5 contracts

Samples: Placement Agency Agreement (PARETEUM Corp), Placement Agency Agreement (PARETEUM Corp), Placement Agency Agreement (Biocept Inc)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. No proceedings for any of the preceding purposes have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 5 contracts

Samples: Underwriting Agreement (Luxurban Hotels Inc.), Underwriting Agreement (BitNile Holdings, Inc.), Underwriting Agreement (BitNile Holdings, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any written order preventing or suspending the use of the Registration Statement, the ADS Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 5 contracts

Samples: Underwriting Agreement (Turbo Energy, S.A.), Underwriting Agreement (Turbo Energy, S.A.), Underwriting Agreement (Turbo Energy, S.A.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s best knowledge, any state regulatory authority has issued any order or threatened to issue any order preventing or suspending the use effectiveness of the Registration Statement, Statement or the use of any Preliminary Prospectus, the Prospectus or the Prospectus any part thereof, or has instituted or, to the Company’s best knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 5 contracts

Samples: Underwriting Agreement (Santa Monica Media CORP), Underwriting Agreement (Santa Monica Media CORP), Underwriting Agreement (Santa Monica Media CORP)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus Registration Statement or has instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 4 contracts

Samples: Selling Agent Agreement (AzurRx BioPharma, Inc.), Selling Agent Agreement (AzurRx BioPharma, Inc.), Underwriting Agreement (Long Island Iced Tea Corp.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information. For purposes of this Agreement, the term “Company’s knowledge” means the knowledge of the Board of Directors and executive officers of the Company after due inquiry.

Appears in 4 contracts

Samples: Underwriting Agreement (1847 Holdings LLC), Underwriting Agreement (1847 Holdings LLC), Underwriting Agreement (1847 Holdings LLC)

No Stop Orders, etc. Neither the Commission nor, to the Company’s 's knowledge, any state regulatory authority has issued any order or threatened to issue any order suspending the effectiveness of the Registration Statement or any post-effective amendment thereto or preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the best of the Company’s 's knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each order and any request (if any) from on the part of the Commission for additional informationinformation has been complied with.

Appears in 4 contracts

Samples: Underwriting Agreement (Alpha Security Group CORP), Underwriting Agreement (Alpha Security Group CORP), Underwriting Agreement (Alpha Security Group CORP)

No Stop Orders, etc. Neither the Commission nor, to the Company’s best knowledge, any state regulatory authority in the United States has issued any order or threatened to issue any order preventing or suspending the use effectiveness of the Registration Statement, Statement or the use of any Preliminary Prospectus, the Prospectus or the Prospectus any part thereof, or has instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from order including, without limitation, pursuant to Section 8A of the Commission for additional informationAct.

Appears in 4 contracts

Samples: Underwriting Agreement (Black Spade Acquisition Co), Underwriting Agreement (Black Spade Acquisition Co), Underwriting Agreement (Provident Acquisition Corp.)

No Stop Orders, etc. Neither To the Company's knowledge, neither the Commission nor, to the Company’s knowledge, nor any state regulatory authority has issued any order preventing or suspending the use of the Registration Offering Statement, any Preliminary Prospectus or the Prospectus Pricing Disclosure Materials and the Final Offering Circular or has instituted or, to the Company’s 's knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 4 contracts

Samples: Placement Agency Agreement (Glucose Biosensor Systems (Greater China) Holdings, Inc.), Placement Agency Agreement (Glucose Biosensor Systems (Greater China) Holdings, Inc.), Placement Agency Agreement (Glucose Biosensor Systems (Greater China) Holdings, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has (i) issued any order or threatened to issue any order preventing or suspending the use effectiveness of the Registration Statement, Statement or the use of any Preliminary Prospectus or Prospectus, the Prospectus or has any part thereof or (ii) instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from order including, without limitation, pursuant to Section 8A of the Commission for additional informationAct.

Appears in 4 contracts

Samples: Underwriting Agreement (DHC Acquisition Corp.), Underwriting Agreement (Kernel Group Holdings, Inc.), Underwriting Agreement (Kernel Group Holdings, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the best of the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus Registration Statement or has instituted or, to the best of the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 4 contracts

Samples: Underwriting Agreement (China Growth Alliance LTD), Underwriting Agreement (China Growth Alliance LTD), Underwriting Agreement (China Growth Alliance LTD)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any written order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, or threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 3 contracts

Samples: Underwriting Agreement (Mangoceuticals, Inc.), Underwriting Agreement (Mangoceuticals, Inc.), Underwriting Agreement (Mangoceuticals, Inc.)

No Stop Orders, etc. Neither the Commission norCommission, nor to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 3 contracts

Samples: Underwriting Agreement (Cytosorbents Corp), Underwriting Agreement (Cytosorbents Corp), Underwriting Agreement (Cytosorbents Corp)

No Stop Orders, etc. Neither the Commission nor, to the Company’s 's knowledge, any state regulatory authority has issued any order or threatened to issue any order preventing or suspending the use effectiveness of the Registration Statement, Statement or the use of any Preliminary Prospectus, the Prospectus or the Prospectus any part thereof, or has instituted or, to the Company’s 's knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 3 contracts

Samples: Underwriting Agreement (Prospect Acquisition Corp), Underwriting Agreement (Bank Street Telecom Funding Corp.), Underwriting Agreement (Alternative Asset Management Acquisition Corp.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of any preliminary Prospectus (“Preliminary Prospectus”), the Registration Statement, any Preliminary Prospectus or the Prospectus Registration Statement or ADS Registration Statement or has instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 3 contracts

Samples: Underwriting Agreement (Sunity Online Entertainment LTD), Underwriting Agreement (Sunity Online Entertainment LTD), Underwriting Agreement (Sunity Online Entertainment LTD)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any written order preventing or suspending the use of the Registration Statement, the ADS Registration Statement, any Preliminary Prospectus Prospectus, or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 3 contracts

Samples: Underwriting Agreement (Pixie Dust Technologies, Inc.), Underwriting Agreement (Pixie Dust Technologies, Inc.), Underwriting Agreement (Pixie Dust Technologies, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the best of the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of any preliminary Prospectus (“Preliminary Prospectus”), the Registration Statement, any Preliminary Prospectus or the Prospectus Registration Statement or has instituted or, to the best of the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 3 contracts

Samples: Underwriting Agreement (MDJM LTD), Underwriting Agreement (Agm Group Holdings, Inc.), Underwriting Agreement (Agm Group Holdings, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus Prospectus, or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information. For purposes of this Agreement, the term “Company’s knowledge” means the knowledge of the Board of Directors and executive officers of the Company after due inquiry.

Appears in 3 contracts

Samples: Underwriting Agreement (CW Petroleum Corp), Underwriting Agreement (CW Petroleum Corp), Underwriting Agreement (CW Petroleum Corp)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus Supplement or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 3 contracts

Samples: Underwriting Agreement (KULR Technology Group, Inc.), Underwriting Agreement (Ideal Power Inc.), Underwriting Agreement (Senmiao Technology LTD)

No Stop Orders, etc. Neither the Commission nor, to the best of the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of any preliminary prospectus (“Preliminary Prospectus”), the Registration Statement, any Preliminary Prospectus or the Prospectus Registration Statement or ADS Registration Statement or has instituted or, to the best of the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 3 contracts

Samples: Underwriting Agreement (Puyi, Inc.), Underwriting Agreement (Hexindai Inc.), Underwriting Agreement (Hexindai Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order or threatened to issue any order preventing or suspending the use effectiveness of the Registration Statement, Statement or the use of any Preliminary Prospectus, the Prospectus or the Prospectus any part thereof, or has instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from , including, without limitation, pursuant to Section 8A of the Commission for additional informationAct.

Appears in 2 contracts

Samples: Underwriting Agreement (Investcorp Europe Acquisition Corp I), Underwriting Agreement (Investcorp Europe Acquisition Corp I)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration StatementOffering Statement or any amendment thereto, any Preliminary Prospectus Offering Circular or the Prospectus Final Offering Circular or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 2 contracts

Samples: Underwriting Agreement (Scopus BioPharma Inc.), Underwriting Agreement (Scopus BioPharma Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statementany Base Prospectus, any Preliminary Prospectus, any Issuer Free Writing Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 2 contracts

Samples: Placement Agency Agreement (Sphere 3D Corp), Placement Agency Agreement (xG TECHNOLOGY, INC.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus Registration Statement or has instituted or, to the best of the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 2 contracts

Samples: Underwriting Agreement (Ventrus Biosciences Inc), Underwriting Agreement (Ventrus Biosciences Inc)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority authority, has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 2 contracts

Samples: Underwriting Agreement (Presidio Property Trust, Inc.), Underwriting Agreement (Presidio Property Trust, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of any preliminary prospectus (“Preliminary Prospectus”), the Prospectus, or the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 2 contracts

Samples: Underwriting Agreement (NetClass Technology Inc), Underwriting Agreement (NetClass Technology Inc)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus Prospectus, or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied in all material respects with each request (if any) from the Commission for additional information.

Appears in 2 contracts

Samples: Underwriting Agreement (Aldeyra Therapeutics, Inc.), Underwriting Agreement (Aldeyra Therapeutics, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the best of the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of any preliminary Prospectus (“Preliminary Prospectus”), the Registration Statement, any Preliminary Prospectus or the Prospectus Registration Statement or ADS Registration Statement or has instituted or, to the best of the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 2 contracts

Samples: Underwriting Agreement (Hailiang Education Group Inc.), Underwriting Agreement (Hailiang Education Group Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 2 contracts

Samples: Underwriting Agreement (Cel Sci Corp), Underwriting Agreement (Cel Sci Corp)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, nor any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to instituteissue any order suspending the effectiveness of the Registration Statement or any post-effective amendment thereto or preventing or suspending the use of any Preliminary Prospectus or has instituted or, to the best of the Company’s knowledge, threatened to institute any proceedings with respect to such an order. The Company has complied with each , and any request (if any) from on the part of the Commission or any state regulatory authority for additional informationinformation regarding such an order has been complied with.

Appears in 2 contracts

Samples: Underwriting Agreement (Dekania Corp.), Underwriting Agreement (Dekania Corp.)

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No Stop Orders, etc. Neither the Commission nor, to the Company’s 's knowledge, any state regulatory authority has issued any order or threatened to issue any order preventing or suspending the use effectiveness of the Registration Statement, Statement or the use of any Preliminary Prospectus, the Prospectus or the Prospectus any part thereof, or has instituted or, to the Company’s 's knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from order including, without limitation, pursuant to Section 8A of the Commission for additional informationAct.

Appears in 2 contracts

Samples: Underwriting Agreement (XPAC Acquisition Corp.), Underwriting Agreement (XPAC Acquisition Corp.)

No Stop Orders, etc. Neither the Commission nor, nor to the Company’s knowledge, knowledge any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, or to the Company’s knowledge, knowledge threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 2 contracts

Samples: Underwriting Agreement (iBio, Inc.), Underwriting Agreement (iBio, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order or threatened to issue any order preventing or suspending the use effectiveness of the Registration Statement, Statement or the use of any Preliminary Prospectus, the Prospectus or the Prospectus any part thereof, or has instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from order including, without limitation, pursuant to Section 8A under the Commission for additional informationAct.

Appears in 2 contracts

Samples: Underwriting Agreement (Vahanna Tech Edge Acquisition I Corp.), Underwriting Agreement (Vahanna Tech Edge Acquisition I Corp.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, nor any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s 's knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 2 contracts

Samples: Underwriting Agreement (Aduro Clean Technologies Inc.), Underwriting Agreement (Aduro Clean Technologies Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, has any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 2 contracts

Samples: Underwriting Agreement (FGI Industries Ltd.), Underwriting Agreement (Transcode Therapeutics, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the best of the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration StatementProspectus, any Preliminary the Statutory Prospectus or the Prospectus Registration Statement or has instituted or, to the best of the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 2 contracts

Samples: Underwriting Agreement (WhiteSmoke, Inc.), Underwriting Agreement (WhiteSmoke, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s 's knowledge, any state regulatory authority has issued any order or threatened to issue any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus, the Prospectus or the Prospectus any part thereof, or has instituted or, to the Company’s 's knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.Maxim Group LLC _____________, 2005 Page 6 of 44

Appears in 2 contracts

Samples: Underwriting Agreement (Star Maritime Acquisition Corp.), Underwriting Agreement (Star Maritime Acquisition Corp.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of any preliminary prospectus (“Preliminary Prospectus”), the Prospectus, the Registration Statement, any Preliminary Prospectus or the Prospectus Statement or has instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (NetClass Technology Inc)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, nor any state regulatory authority has issued any written order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, or threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (Unifoil Holdings, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statementpreliminary Prospectus (“Preliminary Prospectus”), any Preliminary the Prospectus or the Prospectus Registration Statement or ADS Registration Statement or has instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (Sunity Online Entertainment LTD)

No Stop Orders, etc. Neither the Commission nor, to the Company’s 's knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Offering Statement, any Preliminary Prospectus Offering Circular or the Prospectus Final Offering Circular or has instituted or, to the Company’s 's knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Selling Agent Agreement (Neurmedix, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the best of the Company’s 's knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus Registration Statement or has instituted or, to the best of the Company’s 's knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (Education Media, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use effectiveness of the Registration Statement, any Preliminary Prospectus or the Prospectus or has and no proceedings for that purpose have been instituted or, to the Company’s knowledge, are threatened to institute, any proceedings with respect to such an orderby the Commission. The Company has complied with each request (if any) from the Commission for additional or supplemental information.

Appears in 1 contract

Samples: Underwriting Agreement (BioLineRx Ltd.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.information with with respect to the Registration Statement, any Preliminary Prospectus or the Prospectus..

Appears in 1 contract

Samples: Underwriting Agreement (Alset EHome International Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s 's knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (Creatd, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Equity Distribution Agreement (Fat Brands, Inc)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of any preliminary prospectus (“Preliminary Prospectus”), the Prospectus, the Registration Statement, any Preliminary Prospectus Statement or the Prospectus Post-Effective Amendment or has instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (NetClass Technology Inc)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Final Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (OMS Energy Technologies Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (Epsium Enterprise LTD)

No Stop Orders, etc. Neither the Commission nor, to the best of the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of any preliminary prospectus (“Preliminary Prospectus”), the Registration Statement, any Preliminary Prospectus or the Prospectus or Registration Statement has instituted or, to the best of the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (Wah Fu Education Group LTD)

No Stop Orders, etc. Neither the Commission nor, to the best of the Company’s knowledge, any state regulatory authority has issued any order or threatened to issue any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus (including the Preliminary Sale Prospectus) or the Prospectus or any part thereof, or has instituted or, to the best of the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (Megalith Financial Acquisition Corp)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any the Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Placement Agency Agreement (Biocept Inc)

No Stop Orders, etc. Neither the Commission nor, to the best of the Company’s 's knowledge, any state regulatory authority has issued any order or threatened to issue any order preventing or suspending the use effectiveness of the Registration Statement, Statement of the use of any Preliminary Prospectus or the Prospectus or any part thereof or has instituted or, to the best of the Company’s 's knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (TC Acquisition Corp.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus, the Prospectus or the Prospectus Registration Statement or has instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (Journey Medical Corp)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, assuming reasonable inquiry, any federal, state or other regulatory authority has issued any order or threatened to issue any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus, the Statutory Prospectus or the Prospectus or any part thereof, or has instituted or, to the Company’s knowledge, assuming r easonable inquiry, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (TG Venture Acquisition Corp.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s 's knowledge, any state regulatory authority has issued any order or threatened to issue any order preventing or suspending the effectiveness of the Registration Statement or the use of the Registration Statement, any Preliminary Prospectus or the Prospectus Prospectus, or has instituted or, to the Company’s 's knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (North American Insurance Leaders, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the best of the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus Statement or the Prospectus or has instituted or, to the best of the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Distribution Agreement (Stemline Therapeutics Inc)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any written order preventing or suspending the use of the Registration Statement, the ADS Registration Statement (as defined in Section 2.41 below), any Preliminary Prospectus Prospectus, or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (Earlyworks Co., Ltd.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Base Prospectus, the Preliminary Prospectus, the Prospectus or the any Issuer Free Writing Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (Opexa Therapeutics, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (HyreCar Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority authority, has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus Supplement or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (Presidio Property Trust, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any the Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s knowledge, threatened in writing to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (Professional Diversity Network, Inc.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration StatementPreliminary Prospectus, any Preliminary the Prospectus or the Prospectus Registration Statement or has instituted or, to the Company’s 's knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (Cognition Therapeutics Inc)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, assuming reasonable inquiry, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, or to the Company’s knowledge, assuming reasonable inquiry, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (MaxsMaking Inc.)

No Stop Orders, etc. Neither the Commission nor, to the best of the Company’s knowledgeknowledge assuming reasonable inquiry, any state regulatory authority has issued any order or threatened to issue any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus (including the Preliminary Sale Prospectus) or the Prospectus or any part thereof, or has instituted or, to the best of the Company’s knowledgeknowledge assuming reasonable inquiry, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (Megalith Financial Acquisition Corp)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority in the United States has issued any order or threatened to issue any order preventing or suspending the use effectiveness of the Registration Statement, Statement or the use of any Preliminary Prospectus, the Prospectus or the Prospectus any part thereof, or has instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from order including, without limitation, pursuant to Section 8A of the Commission for additional informationAct.

Appears in 1 contract

Samples: Underwriting Agreement (Cedarlake Acquisition Corp.)

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration StatementOffering Statement or any amendment thereto, any Preliminary Prospectus Offering Circular or the Prospectus Final Offering Circular or has instituted or, to the Company’s knowledge, threatened to institute, institute any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (AeroClean Technologies, LLC)

No Stop Orders, etc. Neither the Commission nor, to the Company’s 's knowledge, any state regulatory authority has issued any order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus or the Prospectus or has instituted or, to the Company’s 's knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional informationinformation with respect to the Registration Statement, any Preliminary Prospectus or the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement

No Stop Orders, etc. Neither the Commission nor, to the Company’s knowledge, any state regulatory authority has issued any written order preventing or suspending the use of the Registration Statement, any Preliminary Prospectus Prospectus, or the Prospectus or has instituted or, to the Company’s knowledge, threatened to institute, any proceedings with respect to such an order. The Company has complied with each request (if any) from the Commission for additional information.

Appears in 1 contract

Samples: Underwriting Agreement (Oranco Inc)

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