Common use of Not a Broker-Dealer Clause in Contracts

Not a Broker-Dealer. Such Investor is neither a registered representative under the Financial Industry Regulatory Authority (“FINRA”), a member of FINRA or associated or Affiliated with any member of FINRA, nor a broker-dealer registered with the SEC under the Exchange Act or engaged in a business that would require it to be so registered, nor is it an Affiliate of a such a broker-dealer or any Person engaged in a business that would require it to be registered as a broker-dealer. In the event such Investor is a member of FINRA, or associated or Affiliated with a member of FINRA, such Investor agrees, if requested by FINRA, to sign a lock-up, the form of which shall be satisfactory to FINRA with respect to the Securities.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Tanke Biosciences Corp), Securities Purchase Agreement (Tanke Biosciences Corp), Securities Purchase Agreement (Tanke Biosciences Corp)

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Not a Broker-Dealer. Such Investor is neither a registered representative under the Financial Industry Regulatory Authority (“FINRA”), a member of FINRA or associated or Affiliated with any member of FINRA, nor a broker-dealer registered with the SEC under the Exchange Act or engaged in a business that would require it to be so registered, nor is it an Affiliate of a such a broker-dealer or any Person engaged in a business that would require it to be registered as a broker-dealer. In the event such Investor is a member of FINRA, FINRA or associated or Affiliated with a member of FINRA, such Investor agrees, if requested by FINRA, to sign a lock-up, the form of which shall be satisfactory to FINRA with respect to the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Olympus Pacific Minerals Inc), Securities Purchase Agreement (Olympus Pacific Minerals Inc)

Not a Broker-Dealer. Such The Investor is neither a registered representative under the Financial Industry Regulatory Authority (“FINRA”), a member of FINRA or associated or Affiliated with any member of FINRA, nor a broker-dealer registered with the SEC under the Exchange Act or engaged in a business that would require it the Investor to be so registered, nor is it the Investor an Affiliate of a such a broker-dealer or any Person engaged in a business that would require it to be registered as a broker-dealer. In the event such the Investor is a member of FINRA, or associated or Affiliated with a member of FINRA, such the Investor agrees, if requested by FINRA, to sign a lock-up, the form of which shall be satisfactory to FINRA with respect to the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (China Broadband Inc), Securities Purchase Agreement (China Broadband Inc)

Not a Broker-Dealer. Such The Investor is neither a registered representative under the Financial Industry Regulatory Authority (“FINRA”), a member of FINRA or associated or Affiliated affiliated with any member of FINRA, nor a broker-dealer registered with the SEC under the Securities Exchange Act of 1934, as amended (the “Exchange Act”) or engaged in a business that would require it to be so registered, nor is it an Affiliate affiliate of a such a broker-dealer or any Person person engaged in a business that would require it to be registered as a broker-dealer. In the event such the Investor is a member of FINRA, or associated or Affiliated affiliated with a member of FINRA, such the Investor agrees, if requested by FINRA, to sign a lock-up, the form of which shall be satisfactory to FINRA FINRA, with respect to the Securities.

Appears in 1 contract

Samples: Subscription Agreement (Prometheum, Inc.)

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Not a Broker-Dealer. Such Investor is neither a registered representative under the Financial Industry Regulatory Authority (“FINRA”), a member of FINRA or associated or Affiliated with any member of FINRA, nor a broker-dealer registered with the SEC under the Exchange Act or engaged in a business that would require it to be so registered, nor is it an Affiliate of a such a broker-dealer or any Person engaged in a business that would require it to be registered as a broker-dealer. In the event such Investor is a member of FINRA, or associated or Affiliated with a member of FINRA, such Investor agrees, if requested by FINRA, to sign a lock-up, the form of which shall be satisfactory to FINRA with respect to the SecuritiesWarrants and the Warrant Shares.

Appears in 1 contract

Samples: Securities Purchase Agreement (Manhattan Pharmaceuticals Inc)

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