Qualified Independent Underwriter definition

Qualified Independent Underwriter means a “qualified independent underwriter” within the meaning of FINRA Rule 5121.
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Qualified Independent Underwriter shall have the meaning assigned to such term in FINRA Rule 5121(f)(12).
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Qualified Independent Underwriter has the meaning set forth by FINRA in Section 5121(f)(12), or any successor provision thereto.
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Examples of Qualified Independent Underwriter in a sentence

  • If the Investor reasonably determines that a Qualified Independent Underwriter must participate in the transactions contemplated by the Transaction Documents in order for such transactions to be in full compliance with FINRA’s rules, the Company and the Investor shall have executed such documentation as may reasonably be required to engage a Qualified Independent Underwriter to participate in such transactions.

  • Roth hereby consents to being named in the Registration Statement and Xxxspectus as having acted as a "Qualified Independent Underwriter" solely for the purposes of Rule 2720 referenced herein.

  • Cruttenden hereby consents to being named in the Registration Statement and Prospectus as having acted as a "Qualified Independent Underwriter" solely for the purposes of Rule 2720 referenced herein.

  • CRUTTENDEN hereby consents to be named in the Registration Statement and Prospectus as having acted as a "Qualified Independent Underwriter" solely for the purposes of Rule 2720 referenced herein.

  • FBW's obligation to act as a Qualified Independent Underwriter hereunder shall terminate if the Company shall breach in any material respect any representation, warranty or covenant hereunder and such breach shall not be cured within ten days of written notice thereof to the Company.


More Definitions of Qualified Independent Underwriter

Qualified Independent Underwriter means a “qualified independent underwriter” within the meaning of NASD Conduct Rule 2720.
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Qualified Independent Underwriter means, in respect of the distribution of securities of a Dealer Member corporation or a holding company of a Dealer Member corporation, a securities firm which is a member of a self-regulatory organization, and:
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Qualified Independent Underwriter means an underwriter meeting the requirements of Section 2(1) of Schedule E to the NASD By-Laws as the same may be amended from time to time.
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Qualified Independent Underwriter means a “qualified independent underwriter” within the meaning of FINRA Rule 5121. “Registrable Securities” means any Company Shares held by the Holders at any time (including those held as a result of the conversion or
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Qualified Independent Underwriter that is required to be retained in accordance with the rules and regulations of the NASD;
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Qualified Independent Underwriter means for a distribution of a Dealer Member’s securities or its holding company’s securities, a securities firm that is a self-regulatory organization member and:
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Qualified Independent Underwriter means a “qualified independent underwriter” within the meaning of NASD Conduct Rule 2720. “Records” has the meaning ascribed to such term in Section 2.4(k).
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