SEC Cease-and-Desist Orders Sample Clauses

SEC Cease-and-Desist Orders. You are not subject to any order of the SEC, entered within five years before the sale of the securities, that, at the time of such sale, orders you to cease and desist from committing or causing a future violation of: • any scienter-based anti-fraud provision of the federal securities laws, including, but not limited to, Section 17(a)(1) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Section 206(1) of the Advisers Act or any other rule or regulation thereunder; or • Section 5 of the Securities Act.
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SEC Cease-and-Desist Orders. Are you subject to any order of the SEC that was entered within the past five (5) years and currently orders you to cease and desist from committing or causing a future violation of: ☐ any scienter-based (intent-based) anti-fraud provision of the federal securities laws (including, for example, but not limited to): ☐ Section 17(a)(1) of the Securities Act of 1933, ☐ Section 10(b) of the Exchange Act and Rule 10b-5, and ☐ Section 15 (c) (1) of the Securities Exchange Act); or ☐ Section 5 of the Securities Act, of 1933, which generally requires that securities be registered and prohibits the sale of unregistered securities. ☐ Yes. If yes, please explain: ____________________________________________________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ ☐ No.
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SEC Cease-and-Desist Orders. Are you subject to any order of the SEC that was entered within the past five (5) years and currently orders you to cease and desist from committing or causing a future violation of: ¨ any scienter-based (intent-based) anti-fraud provision of the federal securities laws (including, for example, but not limited to): ¨ Section 17(a)(1) of the Securities Act of 1933, ¨ Section 10(b) of the Exchange Act and Rule 10b-5, and ¨ Section 15(c)(1) of the Securities Exchange Act); or ¨ Section 5 of the Securities Act of 1933, which generally requires that securities be registered and prohibits the sale of unregistered securities. ¨ Yes. If yes, please explain: ¨ No.
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SEC Cease-and-Desist Orders. You are not subject to any order of the SEC, entered within five years before the sale of the securities, that, at the time of such sale, orders you to cease and desist from committing or causing a future violation of: • any scienter-based anti-fraud provision of the federal securities laws, including, but not limited to, Section 17(a)(1) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Section 206(1) of the Advisers Act or any other rule or regulation thereunder; or • Section 5 of the Securities Act. You have not been suspended or expelled from membership in, or suspended or barred from association with a member of, a securities self-regulatory organization (e.g., a registered national securities exchange or a registered national or affiliated securities association) for any act or omission to act constituting conduct inconsistent with just and equitable principles of trade.
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SEC Cease-and-Desist Orders. The Investor is not subject to any order of the SEC entered within the last five years that orders it to cease and desist from committing or causing a violation or future violation of: (1) Any scienter-based anti-fraud provision of the U.S. federal securities laws, including without limitation section 17(a)(1) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 under the Exchange Act, Section 15(c)(1) of the Exchange Act and Section 206(1) of the Investment Advisers Act, or any other rule or regulation thereunder; or (2) Section 5 of the Securities Act. True ................... False ...................
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Related to SEC Cease-and-Desist Orders

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