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)
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)