Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereof, and all Authorizations required in connection therewith have been obtained. No Authorization of, and no filing with, any Governmental Entity is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities and the consummation of the transactions and agreements contemplated by this Agreement and the Representative’s Warrant Agreement and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and state securities, the rules of The Nasdaq Stock Market, LLC and the rules and regulations of FINRA.
Appears in 5 contracts
Samples: Underwriting Agreement (Neuraxis, INC), Underwriting Agreement (Adamas One Corp.), Underwriting Agreement (Adamas One Corp.)
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency, the Exchange or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities Shares and the consummation of the transactions and agreements contemplated by this Agreement and the Representative’s Warrant Agreement delivery of the Underwriters’ Warrants and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and Securities Act Regulations, state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 5 contracts
Samples: Underwriting Agreement (YayYo, Inc.), Underwriting Agreement (YayYo, Inc.), Underwriting Agreement (CNS Pharmaceuticals, Inc.)
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities and the consummation of the transactions and agreements contemplated by this Agreement Agreement, and the Representative’s Warrant Agreement Unit Purchase Option and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 4 contracts
Samples: Underwriting Agreement (NanoVibronix, Inc.), Underwriting Agreement (Sigma Labs, Inc.), Underwriting Agreement (Sigma Labs, Inc.)
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, approval, authorization or order of, and no filing with, any Governmental Entity court, government agency or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities and the consummation of the transactions and agreements contemplated by this Agreement and the Representative’s Warrant Agreement and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 4 contracts
Samples: Underwriting Agreement (Cytosorbents Corp), Underwriting Agreement (Cytosorbents Corp), Underwriting Agreement (Cytosorbents Corp)
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities and the consummation of the transactions and agreements contemplated by this Agreement, the Warrant Agreement and the Representative’s Warrant Agreement and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 4 contracts
Samples: Underwriting Agreement (Versus Systems Inc.), Underwriting Agreement (Esports Entertainment Group, Inc.), Underwriting Agreement (Esports Entertainment Group, Inc.)
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency, the Exchange or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities Shares and the consummation of the transactions and agreements contemplated by this Agreement and the delivery of the Representative’s Warrant Agreement Warrants and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and Securities Act Regulations, state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of FINRA.
Appears in 4 contracts
Samples: Underwriting Agreement (RoyaLand Co Ltd.), Underwriting Agreement (Signing Day Sports, Inc.), Underwriting Agreement (RoyaLand Co Ltd.)
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency, the Exchange or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities Shares and the consummation of the transactions and agreements contemplated by this Agreement and the Representative’s Warrant Agreement delivery of the Representatives’ Warrants and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and Securities Act Regulations, state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 4 contracts
Samples: Underwriting Agreement (Metros Development Co., Ltd.), Underwriting Agreement (Fitell Corp), Underwriting Agreement (Hempacco Co., Inc.)
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement, the Escrow Agreement and the Representative’s Warrant Deposit Agreement and to carry out the provisions and conditions hereof and thereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities and the consummation by the Company of the transactions and agreements contemplated by this Agreement, the Deposit Agreement and the Representative’s Warrant Agreement and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 3 contracts
Samples: Underwriting Agreement (Sunity Online Entertainment LTD), Underwriting Agreement (Sunity Online Entertainment LTD), Underwriting Agreement (Sunity Online Entertainment LTD)
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities and the consummation of the transactions and agreements contemplated by this Agreement and the Representativedelivery of the Warrants and the Underwriter’s Warrant Agreement and Warrants as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and Securities Act Regulations, state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”),.
Appears in 3 contracts
Samples: Underwriting Agreement (SMX (Security Matters) Public LTD Co), Underwriting Agreement (SMX (Security Matters) Public LTD Co), Underwriting Agreement (SMX (Security Matters) Public LTD Co)
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities and the consummation of the transactions and agreements contemplated by this Agreement, the Warrant Agreement and the Representative’s Underwriter Warrant Agreement and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 3 contracts
Samples: Underwriting Agreement (BioRestorative Therapies, Inc.), Underwriting Agreement (BioRestorative Therapies, Inc.), Underwriting Agreement (BioRestorative Therapies, Inc.)
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities and the consummation of the transactions and agreements contemplated by this Agreement Agreement, the Warrants and the Representative’s Warrant Agreement and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 2 contracts
Samples: Underwriting Agreement (Optex Systems Holdings Inc), Underwriting Agreement (Rennova Health, Inc.)
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereof, and all Authorizations required in connection therewith have been obtained. No Authorization of, and no filing with, any Governmental Entity is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities and the consummation of the transactions and agreements contemplated by this Agreement and the Representative’s Warrant Agreement and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and state securities, the rules of The Nasdaq Stock Market, LLC the Exchange and the rules and regulations of FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (Neuraxis, INC), Underwriting Agreement (Neuraxis, INC)
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency, the Exchange or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities Units and the consummation of the transactions and agreements contemplated by this Agreement and the delivery of the Representative’s Warrant Agreement Warrants and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and Securities Act Regulations, state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 2 contracts
Samples: Underwriting Agreement (Shuttle Pharmaceuticals Holdings, Inc.), Underwriting Agreement (Shuttle Pharmaceuticals Holdings, Inc.)
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement Warrants and to carry out the provisions and conditions hereof and thereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities and the consummation of the transactions and agreements contemplated by this Agreement and the Representative’s Warrant Agreement Warrants and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 2 contracts
Samples: Underwriting Agreement (Li Bang International Corp Inc.), Underwriting Agreement (J-Star Holding Co., Ltd.)
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations required in connection therewith have been obtained. No Except for the filing of an Additional Listing Application with the Nasdaq CM with respect to the sale of the Securities, no Authorization of, and no filing with, any court or Governmental Entity is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities and the consummation of the transactions and agreements contemplated by this Agreement and the Representative’s Warrant Agreement and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 2 contracts
Samples: Underwriting Agreement (Avenue Therapeutics, Inc.), Underwriting Agreement (Avenue Therapeutics, Inc.)
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Representative Warrant Agreement and to carry out the provisions and conditions hereof and thereof, and all Authorizations required in connection therewith have been obtained. No Authorization of, and no filing with, any Governmental Entity Entity, the Exchange or another body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities and the consummation of the transactions and agreements contemplated by this Agreement and the Representative’s Representative Warrant Agreement and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and state securities, the rules of The Nasdaq Stock Market, LLC securities or blue-sky laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 2 contracts
Samples: Underwriting Agreement (Longeveron LLC), Underwriting Agreement (Longeveron Inc.)
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities and the consummation of the transactions and agreements contemplated by this Agreement and Agreement, the Representative’s Warrant Agreement and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Exchange and the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 2 contracts
Samples: Underwriting Agreement (Bridgeline Digital, Inc.), Underwriting Agreement (Bridgeline Digital, Inc.)
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency, the Exchange or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities Shares and the consummation of the transactions and agreements contemplated by this Agreement and the Representative’s Warrant Agreement delivery of the Representatives’ Unit Purchase Option and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and Securities Act Regulations, state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 2 contracts
Samples: Underwriting Agreement (Know Labs, Inc.), Underwriting Agreement (Know Labs, Inc.)
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities and the consummation of the transactions and agreements contemplated by this Agreement, the Public Warrant Agreement and the Representative’s Warrant Agreement and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 1 contract
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and to consummate the Representative’s Warrant Agreement Proposed Acquisition and to carry out the provisions and conditions hereof and thereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities and the consummation of the transactions and agreements contemplated by this Agreement and the Representative’s Warrant Agreement and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 1 contract
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals, registrations, orders licenses, certificates, qualifications, registrations and permits required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities Common Stock and the consummation of the transactions and agreements contemplated by this Agreement and the Representative’s Warrant Agreement and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Exchange and Financial Industry Regulatory Authority, Inc. (“FINRA”), as applicable.
Appears in 1 contract
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities and the consummation of the transactions and agreements contemplated by this Agreement, the Warrant Agreement and the RepresentativeUnderwriter’s Warrant Agreement and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 1 contract
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency, the Exchange or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities Shares and the consummation of the transactions and agreements contemplated by this Agreement and the Representative’s Warrant Agreement delivery of the Underwriters’ Warrants and as contemplated by the Registration Statement, the Pricing Disclosure Package SEC Reports and the ProspectusProspectus Supplement, except with respect to applicable federal and Securities Act Regulations, state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 1 contract
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities and the consummation of the transactions and agreements contemplated by this Agreement Agreement, the Warrant Agreements and the Representative’s Warrant Agreement and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Exchange and the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 1 contract
Samples: Underwriting Agreement (CVSL Inc.)
Transactions Contemplated Herein. The Company has all full legal right, corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities and the consummation of the transactions and agreements contemplated by this Agreement and the Representative’s Warrant Agreement and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 1 contract
Transactions Contemplated Herein. The Company has all corporate power and authority to enter into this Agreement and the Representative’s Warrant Agreement and to carry out the provisions and conditions hereof and thereofhereof, and all Authorizations consents, authorizations, approvals and orders required in connection therewith have been obtained. No Authorization consent, authorization or order of, and no filing with, any Governmental Entity court, government agency, the Exchange or other body is required for the valid issuance, sale and delivery of the Public Securities and the Representative’s Securities Shares and the consummation of the transactions and agreements contemplated by this Agreement and the delivery of the Representative’s Warrant Agreement Unit Purchase Option and as contemplated by the Registration Statement, the Pricing Disclosure Package and the Prospectus, except with respect to applicable federal and Securities Act Regulations, state securities, the rules of The Nasdaq Stock Market, LLC securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 1 contract