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.
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Samples: Subscription Agreement (Seven Stars Cloud Group, Inc.), Subscription Agreement (Seven Stars Cloud Group, Inc.), 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____________________________________________________ ¨No.
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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. 1 A disqualification based on a suspension or limitation of activities expires when the suspension or limitation expires.
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Samples: Private Placement Subscription Agreement (China Xuefeng Environmental Engineering 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.
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