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(\u201cFINRA\u201d). (FINRA Manual, Bylaws Article I, Definitions) Control. The term \u201ccontrol\u201d (including the terms \u201ccontrolling,\u201d \u201ccontrolled by\u201d and \u201cunder common control with\u201d) means the possession, direct or indirect, of the power, either individually or with others, to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract, or otherwise. (Rule 405 under the Securities Act of 1933, as amended) Person Associated with a Member of the FINRA. 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(FINRA Interpretation)", "samples": [{"hash": "e0SIs75H167", "uri": "/contracts/e0SIs75H167#finra-member", "label": "Registration Rights Agreement (Continental Resources, Inc)", "score": 29.1396312714, "published": true}, {"hash": "1OFek2onTIg", "uri": "/contracts/1OFek2onTIg#finra-member", "label": "Registration Rights Agreement (Continental Resources Inc)", "score": 23.6255989075, "published": true}], "hash": "a38b5d06158ed727806658edc2434de7", "id": 9}, {"size": 2, "snippet_links": [{"key": "a-member-of-the", "type": "clause", "offset": [13, 28]}], "snippet": "a BD that is a member of the FINRA.", "samples": [{"hash": "664PI8S9214", "uri": "/contracts/664PI8S9214#finra-member", "label": "Limited Partnership Agreement", "score": 26.4496917725, "published": true}, {"hash": "2NUSjk5S8tH", "uri": "/contracts/2NUSjk5S8tH#finra-member", "label": "Subscription Agreement", "score": 24.4496917725, "published": true}], "hash": "78d8772e3fbf3911d4e24669093e1566", "id": 10}], "next_curs": "ClkSU2oVc35sYXdpbnNpZGVyY29udHJhY3RzcjULEhpEZWZpbml0aW9uU25pcHBldEdyb3VwX3Y1NiIVZmlucmEtbWVtYmVyIzAwMDAwMDBhDKIBAmVuGAAgAA==", "definition": {"size": 71, "title": "FINRA member", "snippet": "means either any broker or dealer admitted to membership in the Financial Industry Regulatory Authority (formerly, the National Association of Securities Dealers, Inc., \u201cFINRA\u201d). (FINRA Manual, By-laws of FINRA Regulation, Inc. Article I, Definitions)", "id": "finra-member", "examples": ["The Company will advise the Underwriters and their respective counsel if it becomes aware that any officer, director or shareholder of the Company or its Subsidiaries is or becomes an Affiliate or associated person of a <strong>FINRA member</strong> participating in the Offering.", "When used in this Section 2(j), the term \u201caffiliate of a <strong>FINRA member</strong>\u201d or \u201caffiliated with a <strong>FINRA member</strong>\u201d means an entity that controls, is controlled by or is under common control with a <strong>FINRA member</strong>.", "There are no affiliations with any <strong>FINRA member</strong> firm among the Company&#x27;s officers, directors or, to the knowledge of the Company, any ten percent (10.0%) or greater stockholder of the Company, except as set forth in the Registration Statement and the other documents the Company has filed or furnished with the Commission.", "In addition to the foregoing, the Company represents and warrants that there are no affiliations with any <strong>FINRA member</strong> firm participating in the Placement among the Company\u2019s officers, directors or, to the knowledge of the Company, any five percent (5.0%) or greater stockholder of the Company.", "None of the Net Proceeds (as defined below) will be paid by the Company to any participating <strong>FINRA member</strong> or its affiliates, except as specifically authorized herein.", "The Company shall advise the Placement Agent (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, 10% or greater shareholder of the Company or Person that received the Company\u2019s unregistered equity securities in the past 180 days is or becomes an affiliate or associated person of a <strong>FINRA member</strong> firm prior to the earlier of the termination of this Agreement or the 60-day period after the Effective Date.", "To the Company\u2019s best knowledge, no (i) officer or director of the Company or its Subsidiaries, (ii) owner of 10% or more of the Company\u2019s unregistered securities or that of its Subsidiaries or (iii) owner of any amount of the Company\u2019s unregistered securities acquired within the 180-day period prior to the Filing Date, has any direct or indirect affiliation or association with any <strong>FINRA member</strong>.", "The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, 10% or greater shareholder of the Company or Person that received the Company\u2019s unregistered equity securities in the past 180 days is or becomes an affiliate or associated person of a <strong>FINRA member</strong> firm prior to the earlier of the termination of this Agreement or the 60-day period after the Effective Date."], "related": [["of-a-member", "of a Member", "of a Member"], ["multi-member", "\u2610 - MULTI-MEMBER", "\u2610 - MULTI-MEMBER"], ["council-member", "Council Member", "Council Member"], ["member-company", "Member Company", "Member Company"], ["bank-member", "Bank Member", "Bank Member"]], "related_snippets": [], "updated": "2025-07-24T04:27:51+00:00"}, "json": true, "cursor": ""}}