SEC Disciplinary Orders. Are you or the Company currently the subject of any SEC disciplinary orders relating to brokers, dealers, municipal securities dealers, investment companies, and investment advisers and their associated persons under Section 15(b) or 15B(c) of the Securities Exchange Act of 1934, or Section 203(e) or (f) of the Investment Advisers Act that
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Samples: Securities Purchase Agreement (Reign Sapphire Corp), Securities Purchase Agreement (Friendable, Inc.), Securities Purchase Agreement (WPCS International Inc)
SEC Disciplinary Orders. Are you or the Company currently the subject of any SEC disciplinary orders relating to brokers, dealers, municipal securities dealers, investment companies, and investment advisers and their associated persons under Section 15(b) or 15B(c) of the Securities Exchange Act of 1934, or Section 203(e) or (f) of the Investment Advisers Act thatthat Suspends or revokes your or the Company’s registration as a broker, dealer, municipal securities dealer or investment adviser YES ¨ NO ¨
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