SEC Disciplinary Orders. Are you subject to any order of the SEC that currently: · suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; · places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or · bars you from being associated with any entity or from participating in the offering of any xxxxx stock?1 ☐ Yes. If yes, please explain: ____________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________
Appears in 2 contracts
Samples: Agreement, www.sec.gov
SEC Disciplinary Orders. Are you subject to any order of the SEC that currently: · suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; · places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or · bars you from being associated with any entity or from participating in the offering of any xxxxx pxxxx stock?1 ☐ ¨ Yes. If yes, please explain: ____________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________¨ No.
Appears in 2 contracts
Samples: Private Placement Subscription Agreement (ZK International Group Co., Ltd.), Private Placement Subscription Agreement (ZK International Group Co., Ltd.)
SEC Disciplinary Orders. Are you subject to any order of the SEC that currently: · ● suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; · ● places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or · ● bars you from being associated with any entity or from participating in the offering of any xxxxx stock?1 ☐ Yes. If yes, please explain: ____________________________________________________ ______________________________________________________________________________ __________________________________________________________________________________ __________________________________________________________________________________ __________________________________________________________________________________ ☐ No.
Appears in 2 contracts
Samples: Private Placement Subscription Agreement, Private Placement Subscription Agreement (Golden Metropolis International LTD)
SEC Disciplinary Orders. Are you subject to any order of the SEC Securities and Exchange Commission (“SEC”) that currently: · ☐ suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; · ☐ places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or · ☐ bars you from being associated with any entity or from participating in the offering of any xxxxx stock?1 ☐ Yes. If yes, please explain: ____________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ ☐ No.
Appears in 2 contracts
Samples: Subscription Agreement, Subscription Agreement (DanDrit Biotech USA, Inc.)
SEC Disciplinary Orders. Are you subject to any order of the SEC Securities and Exchange Commission (“SEC”) that currently: · ¨ suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; · ¨ places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or · ¨ bars you from being associated with any entity or from participating in the offering of any xxxxx pxxxx stock?1 ☐ ¨ Yes. If yes, please explain: ____________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ ¨ No.
Appears in 1 contract
Samples: Subscription Agreement (Seven Stars Cloud Group, Inc.)
SEC Disciplinary Orders. Are you subject to any order of the SEC that currently: · suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; · places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or · bars you from being associated with any entity or from participating in the offering of any xxxxx stock?1 ☐ Yes. If yes, please explain: ____________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ _______________________________________________________________________________ ☐ No.
Appears in 1 contract
Samples: www.sec.gov
SEC Disciplinary Orders. Are you subject to any order of the SEC that currently: · - suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; · adviser - places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or · - bars you from being associated with any entity or from participating in the offering of any xxxxx stock?1 ☐ Yes. If yes, please explain: ____________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ _______________________________________________________________________________ ☐ No.
Appears in 1 contract
Samples: Purchase Agreement
SEC Disciplinary Orders. Are you subject to any order of the SEC Securities and Exchange Commission (“SEC”) that currently: · ☐ suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; · ☐ places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or · ☐ bars you from being associated with any entity or from participating in the offering of any xxxxx stock?1 ☐ Yes. If yes, please explain: ____________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ _____________________________________________________________________________________________ _____________________________________________________________________________________________ ☐ No.
Appears in 1 contract
