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 (a) Suspends or revokes your or the Company’s registration as a broker, dealer, municipal securities dealer or investment adviser YES NO (1) Places limitations on your or the Company’s activities, functions or operations YES NO (2) Bars you or the Company from being associated with any entity or from participating in the offering of any pxxxx stock YES NO
Appears in 2 contracts
Samples: Securities Purchase Agreement (WPCS International Inc), Securities Purchase Agreement (Emerald Medical Applications Corp.)
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
(a) Suspends or revokes your or the Company’s registration as a broker, dealer, municipal securities dealer or investment adviser YES NO¨ NO ¨
(1) Places limitations on your or the Company’s activities, functions or operations YES NO¨ NO ¨
(2) Bars you or the Company from being associated with any entity or from participating in the offering of any pxxxx stock YES NO¨ NO ¨
Appears in 2 contracts
Samples: Securities Purchase Agreement (WPCS International 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 that
(a) Suspends or revokes your or the Company’s registration as a broker, dealer, municipal securities dealer or investment adviser YES NO
(1) Places limitations on your or the Company’s activities, functions or operations YES NO
(2) Bars you or the Company from being associated with any entity or from participating in the offering of any pxxxx xxxxx stock YES NO
Appears in 1 contract
Samples: Securities Purchase Agreement (Reign Sapphire Corp)
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
(a) that Suspends or revokes your or the Company’s registration as a broker, dealer, municipal securities dealer or investment adviser YES NO¨ NO ¨
(1) Places limitations on your or the Company’s activities, functions or operations YES NO¨ NO ¨
(2) Bars you or the Company from being associated with any entity or from participating in the offering of any pxxxx stock YES NO¨ NO ¨
Appears in 1 contract
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
(a) Suspends or revokes your or the Company’s registration as a broker, dealer, municipal securities dealer or investment adviser YES NO___ NO ___
(1) Places limitations on your or the Company’s activities, functions or operations YES NO___ NO ___
(2) Bars you or the Company from being associated with any entity or from participating in the offering of any pxxxx xxxxx stock YES NO___ NO ___
Appears in 1 contract
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
(a) Suspends or revokes your or the Company’s registration as a broker, dealer, municipal securities dealer or investment adviser YES NO_______ NO _______
(1) Places limitations on your or the Company’s activities, functions or operations YES NO_______ NO _______
(2) Bars you or the Company from being associated with any entity or from participating in the offering of any pxxxx xxxxx stock YES NO_______ NO _______
Appears in 1 contract
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
(a) Suspends or revokes your or the Company’s registration as a broker, dealer, municipal securities dealer or investment adviser YES NOYes No
(1) Places limitations on your or the Company’s activities, functions or operations YES NOYes No
(2) Bars you or the Company from being associated with any entity or from participating in the offering of any pxxxx xxxxx stock YES NOYes No
Appears in 1 contract
