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.
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Samples: Private Placement Subscription Agreement (China Xuefeng Environmental Engineering 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 pxxxx stock?1 □ ¨ Yes. If yes, please explain: □ ____________________________________________________ ¨ No.
Appears in 1 contract
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 □ pxxxx stock?[1] ¨ Yes. If yes, please explain: □ ¨ No.
Appears in 1 contract
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 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 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
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
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 1 contract
