Example ContractsClausesbroker dealer statusIdentical
Broker-Dealer Status
Broker-Dealer Status contract clause examples

Are you a broker-dealer?

Source document
Alphatec Holdings, Inc. (ATEC) (CIK 0001350653)
Source: SEC EDGAR database • Date: June 27, 2019 • SIC: 3841 • CIK: 3841
Sorrento Therapeutics, Inc. (SRNE) (CIK 0000850261)
Source: SEC EDGAR database • Date: November 9, 2020 • SIC: 2836 • CIK: 2836
IRIDEX CORP (IRIX) (CIK 0001006045)
Source: SEC EDGAR database • Date: March 2, 2021 • SIC: 3845 • CIK: 3845
Arcadia Biosciences, Inc. (RKDA) (CIK 0001469443)
Source: SEC EDGAR database • Date: March 23, 2018 • SIC: 2870 • CIK: 2870
Super League Gaming, Inc. (SLGG) (CIK 0001621672)
Source: SEC EDGAR database • Date: March 11, 2021 • SIC: 7900 • CIK: 7900
IRIDEX CORP (IRIX) (CIK 0001006045)
Source: SEC EDGAR database • Date: March 4, 2021 • SIC: 3845 • CIK: 3845
WINDTREE THERAPEUTICS INC /DE/ (WINT, WINTD) (CIK 0000946486)
Source: SEC EDGAR database • Date: April 4, 2018 • SIC: 2836 • CIK: 2836
DermTech, Inc. (DMTK, DMTKW) (CIK 0001651944)
Source: SEC EDGAR database • Date: May 4, 2020 • SIC: 8071 • CIK: 8071
Ra Medical Systems, Inc. (RMED) (CIK 0001716621)
Source: SEC EDGAR database • Date: July 22, 2022 • SIC: 3841 • CIK: 3841

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