FINRA Questionnaires definition

FINRA Questionnaires means the written questionnaires sent on behalf of the Representatives to the officers, directors, and holders of 5% or more of any class of the Company’s capital stock prior to the Closing Date.
Sample 1Sample 2Sample 3
FINRA Questionnaires means the written questionnaires sent on behalf of the Representative to the officers, directors, and holders of 5% or more of any class of the Company’s capital stock prior to the Closing Date.
Sample 1Sample 2Sample 3

Examples of FINRA Questionnaires in a sentence

  • Except as disclosed in the FINRA Questionnaires provided to the Representatives, to the Company’s knowledge, no Company Affiliate is an owner of shares or other securities of any Member (other than securities purchased on the open market).

  • Except as disclosed in the FINRA Questionnaires provided to the Representatives, to the Company’s knowledge no officer, director, or beneficial owner of any class of the Company’s securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) (any such individual or entity, a “Company Affiliate”) is a Member or a person associated or affiliated with a Member.

  • To the Company’s knowledge, except as set forth in the FINRA Questionnaires, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Registration Statement with the Commission has any relationship or affiliation or association with any member of FINRA.

  • Except as disclosed in the FINRA Questionnaires provided to the Representative, to the Company’s knowledge, no Company Affiliate is an owner of shares or other securities of any Member (other than securities purchased on the open market).

  • Except as disclosed in the FINRA Questionnaires provided to the Representatives, no Company Affiliate is an owner of shares or other stock of any Member (other than securities purchased on the open market).

  • The simple decompression box 302 shown is preferably a future industry standard decom- pression box capable of communicating with an upgrade module 300 to enhance functionality.[0131] The upgrade module 300 provides menu generation capability to the simple decompression box 302.

  • This was done to familiarize participants with the decision situation.

  • To the Company’s knowledge, except as set forth in the FINRA Questionnaires, no Company Affiliate is an owner of stock or other securities of any member of FINRA (other than securities purchased on the open market).

  • Except as disclosed in the FINRA Questionnaires provided to the Representatives, no officer, director, or beneficial owner of any class of the Company’s securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) (any such individual or entity, a “Company Affiliate”) is a Member or a person associated or affiliated with a Member.

  • Except as disclosed in the FINRA Questionnaires provided to the Representative, to the Company’s knowledge, no officer, director, director nominee or beneficial owner of any class of the Company’s securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) (any such individual or entity, a “Company Affiliate”) is a Member or a person associated or affiliated with a Member.

Related to FINRA Questionnaires

  • Investor Questionnaire has the meaning set forth in Section 5.8.

  • Notice and Questionnaire means a Notice of Registration Statement and Selling Securityholder Questionnaire substantially in the form of Exhibit A hereto.

  • Subscriber Information means any information, contained in the form of computer data or any other form, that is held by a service provider, relating to subscribers, other than traffic or other data, by which can be established -

  • Disclosure Notice means a notice issued by or on behalf of the Company requiring disclosure of interests in shares pursuant to section 212 of the Act;