Common use of SEC Refusal or Stop Order Clause in Contracts

SEC Refusal or Stop Order. You have not filed (as a registrant or issuer), nor were you named as an underwriter in any registration statement or Regulation A offering statement filed with the SEC that, within five years before the sale of the securities, was the subject of a refusal order, stop order, or order suspending the Regulation A exemption, or is, at the time of the sale of the securities, the subject of an investigation or proceeding to determine whether a stop order or suspension order should be issued.

Appears in 10 contracts

Samples: Securities Issuance Agreement, Securities Issuance Agreement, Securities Purchase Agreement (Sonim Technologies Inc)

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SEC Refusal or Stop Order. You have not filed (as a registrant or issuer), nor were you was Entity named as an underwriter in any registration statement or Regulation A offering statement filed with the SEC that, within five years before the sale of the securities, was the subject of a refusal order, stop order, or order suspending the Regulation A exemption, or is, at the time of the sale of the securities, the subject of an investigation or proceeding to determine whether a stop order or suspension order should be issued.

Appears in 8 contracts

Samples: Securities Issuance Agreement, Securities Issuance Agreement, Securities Issuance Agreement (Ziopharm Oncology Inc)

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