Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 9 contracts
Samples: Executive Severance Agreement (Computer Programs & Systems Inc), Employment Agreement (5E Advanced Materials, Inc.), Employment Agreement (Singing Machine Co Inc)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violationauthority.
Appears in 6 contracts
Samples: Employment Agreement (Rise Oil & Gas, Inc.), Employment Agreement (Rise Oil & Gas, Inc.), Employment Agreement (Rise Oil & Gas, Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 5 contracts
Samples: Employment Agreement (Perma Fix Environmental Services Inc), Employment Agreement (Perma Fix Environmental Services Inc), Employment Agreement (Perma Fix Environmental Services Inc)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s 's attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violationauthority.
Appears in 4 contracts
Samples: Executive Employment Agreement (Blackboxstocks Inc.), Employment Agreement (Investors Title Co), Employment Agreement (Investors Title Co)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorneylegal counsel) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), any other self-regulatory organization, or any other federal or state relevant regulatory authority regarding a possible securities law violationauthority.
Appears in 4 contracts
Samples: Employment Agreement (ESGL Holdings LTD), Employment Agreement (ESGL Holdings LTD), Employment Agreement (ESGL Holdings LTD)
Permitted Communications. Nothing herein prohibits or restricts the Executive Independent Director (or the ExecutiveIndependent Director’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 3 contracts
Samples: Independent Director Agreement (Nano Nuclear Energy Inc.), Independent Director Agreement (Nano Nuclear Energy Inc.), Independent Director Agreement (Nano Nuclear Energy Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 3 contracts
Samples: Employment Agreement (Nano Nuclear Energy Inc.), Employment Agreement (Flewber Global Inc.), Employment Agreement (Flewber Global Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s 's attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 2 contracts
Samples: Employment Agreement (Nutex Health, Inc.), Employment Agreement
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s 's attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority [regarding a possible securities law violation].
Appears in 2 contracts
Samples: Employment Agreement (Crinetics Pharmaceuticals, Inc.), Employment Agreement (Crinetics Pharmaceuticals, Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 2 contracts
Samples: Employment Agreement (Umpqua Holdings Corp), Employment Agreement (Umpqua Holdings Corp)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-self- regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 1 contract
Samples: Executive Employment Agreement (Legion Works, Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorneylegal counsel) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violationauthority.
Appears in 1 contract
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 1 contract
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s 's attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 1 contract
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-self- regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violationauthority.
Appears in 1 contract
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s 's attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-self- regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 1 contract
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 1 contract
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority Authority, Inc. (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violationauthority.
Appears in 1 contract
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry inqui1y from, or providing testimony before the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities Securities law violation.
Appears in 1 contract
