RESALE REGISTRATION STATEMENT QUESTIONS Sample Clauses

RESALE REGISTRATION STATEMENT QUESTIONS. 1. Affiliation with Broker-Dealers: Is the undersigned a registered broker-dealer or an affiliate of a registered broker-dealer? For purposes of this question, an “affiliate” of a specified person or entity means a person or entity that directly, or indirectly through one or more intermediaries, controls or is controlled by, or is under common control with, the person or entity specified. Yes_____ No_____ If so, please answer the remaining questions in this section. Please identify the registered broker-dealer(s) and describe the nature of the affiliation(s) between the undersigned and any registered broker-dealers:
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RESALE REGISTRATION STATEMENT QUESTIONS 
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Related to RESALE REGISTRATION STATEMENT QUESTIONS

  • Filing of a Registration Statement The Company shall prepare and file with the SEC a Registration Statement, or multiple Registration Statements for the resale by the Investor of the Registrable Securities. The Company in its sole discretion may choose when to file such Registration Statements; provided, however, that the Company shall not have the ability to request any Advances until the effectiveness of a Registration Statement.

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