Common use of Persons Owning a Broker/Dealer Clause in Contracts

Persons Owning a Broker/Dealer. a. Any person listed, or required to be listed, in Schedule A of a Form BD, except persons identified by ownership of less than 10%. b. Any person listed, or required to be listed, in Schedule B of a Form BD, except persons identified by ownership of less than 10%. c. Any person listed, or required to be listed, in Schedule C of a Form BD that meets the criteria of (e)(bullet point 1) or (e) (bullet point 2) above. d. Any person that directly or indirectly owns 10% or more of a public reporting company listed, or required to be listed, in Schedule B of a Form BD. e. Any person that directly or indirectly owns 25% or more of a public reporting company listed, or required to be listed, in Schedule B of a Form BD. f. Any immediate family member of a person specified in (5) (bullet points 1-5) unless the person owning the Broker/dealer: i. Does not materially support, or receive material support from the immediate family member. ii. Is not an owner of the member, or an affiliate of the member, selling the new issue to the immediate family member. iii. Has no ability to control the allocation of the new issue.

Persons Owning a Broker/Dealer. a. Any person listed, or required to be listed, in Schedule A of a Form BD, except persons identified by ownership of less than 10%. b. Any person listed, or required to be listed, in Schedule B of a Form BD, except persons identified by ownership of less than 10%. c. Any person listed, or required to be listed, in Schedule C of a Form BD that meets the criteria of (e)(bullet point 1) or (e) (bullet point 2) above. d. Any person that directly or indirectly owns 10% or more of a public reporting company listed, or required to be listed, in Schedule B of a Form BD. e. Any person that directly or indirectly owns 25% or more of a public reporting company listed, or required to be listed, in Schedule B of a Form BD. . f. Any immediate family member of a person specified in (5) (bullet points 1-5) unless the person owning the Broker/dealer: i. Does not materially support, or receive material support from the immediate family member. ii. Is not an owner of the member, or an affiliate of the member, selling the new issue to the immediate family member. iii. Has no ability to control the allocation of the new issue.