SRO Suspension/Expulsion. Have you been suspended or expelled from membership in, or suspended or barred from association with a member of, a securities self-regulatory organization (“SRO”, such as a registered national securities exchange or a registered national or affiliated securities association, including FINRA) for any act or omission to act constituting conduct inconsistent with just and equitable principles of trade? ☐ Yes. If yes, please explain: ____________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ☐ No.
Appears in 4 contracts
Samples: Agreement, www.sec.gov, www.sec.gov
SRO Suspension/Expulsion. Have you been suspended or expelled from membership in, or suspended or barred from association with a member of, a securities self-regulatory organization (“SRO”, such as a registered national securities exchange or a registered national or affiliated securities association, including FINRA) for any act or omission to act constituting conduct inconsistent with just and equitable principles of trade? ☐ Yes. If yes, please explain: __________________________________________________________ __________________________________________________________________________________ __________________________________________________________________________________ __________________________________________________________________________________ ☐ No.
Appears in 2 contracts
Samples: Private Placement Subscription Agreement, Private Placement Subscription Agreement (Golden Metropolis International LTD)
SRO Suspension/Expulsion. Have you been suspended or expelled from membership in, or suspended or barred from association with a member of, a securities self-regulatory organization (“SRO”, such as a registered national securities exchange or a registered national or affiliated securities association, including FINRA) for any act or omission to act constituting conduct inconsistent with just and equitable principles of trade? ☐ ☐Yes. If yes, please explain: ____________________________________________________ ______________________________________________________________________________ _____________________________________________________________________________________________ _____________________________________________________________________________________________ ☐ ☐No.. Exhibit A
Appears in 1 contract
SRO Suspension/Expulsion. Have you been suspended or expelled from membership in, or suspended or barred from association with a member of, a securities self-regulatory organization (“SRO”, such as a registered national securities exchange or a registered national or affiliated securities association, including FINRA) for any act or omission to act constituting conduct inconsistent with just and equitable principles of trade? ☐ ¨ Yes. If yes, please explain: ____________________________________________________ ______________________________________________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ ☐ No.
Appears in 1 contract
Samples: Subscription Agreement (Seven Stars Cloud Group, Inc.)
SRO Suspension/Expulsion. Have you been suspended or expelled from membership in, or suspended or barred from association with a member of, a securities self-regulatory organization (“SRO”, such as a registered national securities exchange or a registered national or affiliated securities association, including FINRA) for any act or omission to act constituting conduct inconsistent with just and equitable principles of trade? ☐ Yes. If yes, please explain: ____________________________________________________ ______________________________________________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ ☐ No.
Appears in 1 contract
SRO Suspension/Expulsion. Have you been suspended or expelled from membership in, or suspended or barred from association with a member of, a securities self-regulatory organization (“SRO”, such as a registered national securities exchange or a registered national or affiliated securities association, including FINRA) for any act or omission to act constituting conduct inconsistent with just and equitable principles of trade? ☐ Yes. If yes, please explain: ______________________________________________________________________ _____________________________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ☐ No.
Appears in 1 contract
SRO Suspension/Expulsion. Have you been suspended or expelled from membership in, or suspended or barred from association with a member of, a securities self-regulatory organization (“SRO”, such as a registered national securities exchange or a registered national or affiliated securities association, including FINRA) for any act or omission to act constituting conduct inconsistent with just and equitable principles of trade? ☐ Yes. If yes, please explain: ____________________________________________________ ______________________________________________________________________________ _____________________________________________________________________________________________ _____________________________________________________________________________________________ ☐ No.
Appears in 1 contract
