BROKER-DEALER REGISTRATION; FINRA MEMBERSHIP. The Dealer Manager is, and during the term of this Agreement will be, (i) duly registered as a broker-dealer pursuant to the provisions of the Exchange Act, (ii) a member in good standing of FINRA, and (iii) a broker or dealer duly registered as such in those states where the Dealer Manager is required to be registered in order to carry out the Offering as contemplated by this Agreement. Each of the Dealer Manager’s employees and representatives has all required licenses and registrations to act under this Agreement. There is no provision in the Dealer Manager’s FINRA membership agreement that would restrict the ability of the Dealer Manager to carry out the Offering as contemplated by this Agreement.
Appears in 68 contracts
Samples: Dealer Manager Agreement (Lightstone Real Estate Income Trust Inc.), Dealer Manager Agreement (Lightstone Value Plus Real Estate Investment Trust III, Inc.), www.sec.gov
BROKER-DEALER REGISTRATION; FINRA MEMBERSHIP. The Dealer Manager is, and during the term of this Agreement will be, (i) duly registered as a broker-dealer pursuant to the provisions of the Exchange Act, (ii) a member in good standing of FINRA, and (iii) a broker or dealer duly registered as such in those states where the Dealer Manager is required to be registered in order to carry out the Offering as contemplated by this Agreement. Each of Moreover, the Dealer Manager’s employees and representatives has have all required licenses and registrations to act under this Agreement. There is no provision in the Dealer Manager’s FINRA membership agreement that would restrict the ability of the Dealer Manager to carry out the Offering as contemplated by this Agreement.
Appears in 46 contracts
Samples: Dealer Manager Agreement (NexPoint Real Estate Finance, Inc.), Dealer Manager Agreement (Terra Income Fund 6, Inc.), Dealer Manager Agreement (Carter Validus Mission Critical REIT II, Inc.)
BROKER-DEALER REGISTRATION; FINRA MEMBERSHIP. The Dealer Manager is, and during the term of this Agreement will be, (i) duly registered as a broker-dealer pursuant to the provisions of the Exchange Act, (ii) a member in good standing of FINRA, and (iii) a broker or dealer duly registered as such in those states where the Dealer Manager is required to be registered in order to carry out the Offering as contemplated by this Agreement. Each of the The Dealer Manager’s Manager retains employees and representatives has all required that have sufficient licenses and registrations to act under this Agreement. There is no provision in the Dealer Manager’s FINRA membership agreement that would restrict the ability of the Dealer Manager to carry out the Offering as contemplated by this Agreement.
Appears in 6 contracts
Samples: Exclusive Dealer Manager Agreement (Energy Resources 12, L.P.), Escrow Agreement (Energy 11, L.P.), Escrow Agreement (Energy 11, L.P.)
BROKER-DEALER REGISTRATION; FINRA MEMBERSHIP. The Dealer Manager is, and during the term of this Agreement will be, (i) duly registered as a broker-dealer pursuant to the provisions of the Exchange ActAct and the Exchange Act Rules and Regulations, (ii) a member in good standing of FINRA, and (iii) a broker or dealer duly registered as such in those states where the Dealer Manager is required to be registered in order to carry out the Offering as contemplated by this Agreement. Each of Moreover, the Dealer Manager’s employees and representatives has have all required licenses and registrations to act under this Agreement. There is no provision in the Dealer Manager’s FINRA membership agreement that would restrict the ability of the Dealer Manager to carry out the Offering as contemplated by this Agreement.
Appears in 5 contracts
Samples: Escrow Agreement (RCS Capital Corp), Escrow Agreement (Business Development Corp of America), Escrow Agreement (Business Development Corp of America)
BROKER-DEALER REGISTRATION; FINRA MEMBERSHIP. The Dealer Manager is, and during the term of this Agreement will be, (i) duly registered as a broker-dealer pursuant to the provisions of the Exchange Act, (ii) a member in good standing of FINRA, and (iii) a broker or dealer duly registered as such in those states where the Dealer Manager is required to be registered in order to carry out the Offering offering of Shares of the Feeder Funds as contemplated by this Agreement. Each of Moreover, the Dealer Manager’s employees and representatives has have all required licenses and registrations to act under this Agreement. There is no provision in the Dealer Manager’s FINRA membership agreement that would restrict the ability of the Dealer Manager to carry out the Offering offering of Shares of the Feeder Funds as contemplated by this Agreement.
Appears in 3 contracts
Samples: Dealer Manager Agreement (Carey Credit Income Fund 2016 T), Dealer Manager Agreement (Carey Credit Income Fund 2016 T), Dealer Manager Agreement (Carey Credit Income Fund 2015 T)
BROKER-DEALER REGISTRATION; FINRA MEMBERSHIP. The Dealer Manager is, and during the term of this Agreement will be, (i) duly registered as a broker-dealer pursuant to the provisions of the Exchange ActAct and the Exchange Act Rules and Regulations, (ii) a member in good standing of FINRA, and (iii) a broker or dealer duly registered as such in those states where the Dealer Manager is required to be registered in order to carry out the Offering its responsibilities as contemplated by this Agreement. Each of Moreover, the Dealer Manager’s employees and representatives has have all required licenses and registrations to act under this Agreement. There is no provision in the Dealer Manager’s FINRA membership agreement that would restrict the ability of the Dealer Manager to carry out the Offering its responsibilities as contemplated by this Agreement.
Appears in 3 contracts
Samples: Selected Dealer Agreement (BUSINESS DEVELOPMENT Corp OF AMERICA II), Selected Dealer Agreement (BUSINESS DEVELOPMENT Corp OF AMERICA II), Selected Dealer Agreement (BDCA Senior Capital, Inc.)
BROKER-DEALER REGISTRATION; FINRA MEMBERSHIP. The Such Dealer Manager is, and during the term of this Agreement will be, (i) duly registered as a broker-dealer pursuant to the provisions of the Exchange Act, (ii) a member in good standing of FINRA, and (iii) a broker or dealer duly registered as such in those states where the such Dealer Manager is required to be registered in order to carry out the Offering as contemplated by this Agreement. Each of the such Dealer Manager’s employees and representatives has all required licenses and registrations to act under this Agreement. There is no provision in the such Dealer Manager’s FINRA membership agreement that would restrict the ability of the such Dealer Manager to carry out the Offering as contemplated by this Agreement.
Appears in 2 contracts
Samples: Dealer Manager Agreement (American Realty Capital Properties, Inc.), Dealer Manager Agreement (American Realty Capital Properties, Inc.)
BROKER-DEALER REGISTRATION; FINRA MEMBERSHIP. The Dealer Manager is, and during the term of this Agreement will be, (i) duly registered as a broker-dealer pursuant to the provisions of the Exchange Act, (ii) a member in good standing of FINRA, and (iii) a broker or dealer duly registered as such in those states where the Dealer Manager is required to be registered in order to carry out the Offering as contemplated by this Agreement. Each of the The Dealer Manager’s Manager retains employees and representatives has all required that have sufficient licenses and registrations to act under this Agreement. There is no provision in the Dealer Manager’s FINRA membership agreement that would restrict the ability of the Dealer Manager to carry out the Offering as contemplated by this Agreement.. (e)
Appears in 2 contracts
Samples: www.sec.gov, www.sec.gov
BROKER-DEALER REGISTRATION; FINRA MEMBERSHIP. The Dealer Manager is, and during the term of this Agreement will be, (i) duly registered as a broker-dealer pursuant to the provisions of the Exchange Act, (ii) a member in good standing of FINRA, and (iii) a broker or dealer duly registered as such in those states where the Dealer Manager is required to be registered in order to carry out the Offering offering of Shares of the Feeder Funds as contemplated by this Agreement. Each of Moreover, the Dealer Manager’s employees and representatives has have all required licenses and registrations to act under this Agreement. There is no provision in the Dealer Manager’s FINRA membership agreement that would restrict the ability of the Dealer Manager to carry out the Offering offering of Shares of the Feeder Funds as contemplated by this Agreement. 3.
Appears in 1 contract
Samples: Dealer Manager Agreement (Carey Credit Income Fund 2017 T)
BROKER-DEALER REGISTRATION; FINRA MEMBERSHIP. The Dealer Manager is, and during the term of this Agreement will be, (i) duly registered as a broker-dealer broker‑dealer pursuant to the provisions of the Exchange Act, (ii) a member in good standing of FINRA, and (iii) a broker or dealer duly registered as such in those states where the Dealer Manager is required to be registered in order to carry out the Offering as contemplated by this Agreement. Each of the Dealer Manager’s employees and representatives has all required licenses and registrations to act under this Agreement. There is no provision in the Dealer Manager’s FINRA membership agreement that would restrict the ability of the Dealer Manager to carry out the Offering as contemplated by this Agreement.
Appears in 1 contract
Samples: Exclusive Dealer Manager Agreement (American Realty Capital Healthcare Trust II, Inc.)
BROKER-DEALER REGISTRATION; FINRA MEMBERSHIP. The Dealer Manager is, and during the term of this Agreement will be, (i) duly registered as a broker-broker- dealer pursuant to the provisions of the Exchange Act, (ii) a member in good standing of FINRA, and (iii) a broker or dealer duly registered as such in those states where the Dealer Manager is required to be registered in order to carry out the Offering as contemplated by this Agreement. Each of the Dealer Manager’s employees and representatives has all required licenses and registrations to act under this Agreement. There is no provision in the Dealer Manager’s FINRA membership agreement that would restrict the ability of the Dealer Manager to carry out the Offering as contemplated by this Agreement.
Appears in 1 contract
Samples: Dealer Manager Agreement (Lightstone Real Estate Income Trust Inc.)
