Brokerage Transaction Fees Sample Clauses

Brokerage Transaction Fees. The Distribution Manager is authorized to enter into arrangements that allow the Broker to charge a transaction or other fee, including upfront placement fees or brokerage commissions, on sales of Shares, to the extent the Prospectus discloses that such transaction or other fees may be charged for the relevant class of Shares. The Distribution Manager will require the Broker to represent that the Broker is acting solely as an agent for its customers with respect to their purchase or sale of Shares and is not acting for the Broker’s own account. Any transaction or other fees, including upfront placement fees or brokerage commissions, charged by the Broker in connection with its sale of Shares will be charged in a manner consistent with the Prospectus and applicable law and FINRA rules. Purchases and sales of such shares may only be executed as purchases or repurchases between the customer and the Company. The Broker shall not execute trades of shares between customers. EXHIBIT A FORM OF SELECTED INTERMEDIARY AGREEMENT
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Brokerage Transaction Fees. The Intermediary Manager is authorized to enter into arrangements that allow the Broker to charge a transaction or other fee, including upfront placement fees or brokerage commissions, on sales of Shares, to the extent the Prospectus discloses that such transaction or other fees may be charged for the relevant class of Shares. The Intermediary Manager will require the Broker to represent that Broker is acting solely as an agent for its customers with respect to their purchase or sale of Shares and is not acting for Broker’s own account. Any transaction or other fees, including upfront placement fees or brokerage commissions, charged by Broker in connection with its sale of Shares will be charged in a manner consistent with the Prospectus and applicable law and FINRA rules. Purchases and sales of such shares may only be executed as purchases or repurchases between the customer and the Fund. Broker shall not execute trades of shares between customers. ​ ​ EXHIBIT A FORM OF SELECTED INTERMEDIARY AGREEMENT ​ ​ 16 ​ Exhibit (h)(2) ​ FORM OF SELECTED INTERMEDIARY AGREEMENT Ladies and Gentlemen: Ares Wealth Management Solutions, LLC, as the intermediary manager (“Intermediary Manager”) for Ares Strategic Income Fund (the “Fund”), a Delaware statutory trust, invites you (the “Broker”) to participate in the continuous distribution of common shares of beneficial interest, $0.01 par value per share, of the Fund (“Common Shares”) subject to the following terms:
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Brokerage Transaction Fees. [The Dealer Manager is authorized to enter into arrangements that allow the Participating Broker-Dealer to charge a transaction or other fee, including upfront placement fees or brokerage commissions, on sales of Shares, to the extent the Prospectus discloses that such transaction or other fees may be charged for the relevant class of Shares. The Dealer Manager will require the Participating Broker-Dealer to represent that Participating Broker-Dealer is acting solely as an agent for its customers with respect to their purchase or sale of Shares and is not acting for Participating Broker-Dealer’s own account. Any transaction or other fees, including upfront placement fees or brokerage commissions, charged by Participating Broker-Dealer in connection with its sale of Shares will be charged in a manner consistent with the Prospectus and applicable law and FINRA rules. Purchases and sales of such shares may only be executed as purchases or repurchases between the customer and the Company. Participating Broker-Dealer shall not execute trades of shares between customers.] EXHIBIT A FORM OF PARTICIPATING BROKER-DEALER AGREEMENT OWL ROCK TECHNOLOGY INCOME CORP. FORM OF PARTICIPATING BROKER-DEALER AGREEMENT [ • ], 2021 Ladies and Gentlemen: Blue Owl Securities LLC (formerly known as Owl Rock Capital Securities LLC), as the dealer manager (the “Dealer Manager”) is party to a dealer manager agreement with Owl Rock Technology Income Corp., a Maryland corporation (the “Corporation”) and Owl Rock Technology Advisors LLC, a Delaware limited liability company and the investment adviser of the Corporation (the “Adviser”), dated [ • ], in the form attached hereto as Exhibit A (the “Dealer Manager Agreement”). As described in the Dealer Manager Agreement, the Corporation has filed one or more registration statements with the SEC that are listed on Schedule 1 to the Dealer Manager Agreement (each, a “Registration Statement”), which Schedule 1 may be amended from time to time with the written consent of the Corporation and the Dealer Manager. Any new Registration Statement will be added to Schedule 1 upon its initial effectiveness with the SEC. Each Registration Statement shall register an ongoing offering (each, an “Offering”) of Common Stock, which may consist of Class S, Class D and/or Class I shares (the “Offered Shares”) the Corporation’s common stock, $0.01 par value per share (“Common Stock”). The differences between the classes of Offered Shares and the eligibility req...
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Related to Brokerage Transaction Fees

  • Transaction Fees The State of Florida, through the Department of Management Services, has instituted MyFloridaMarketPlace, a statewide eProcurement system pursuant to section 287.057(22), F.S. All payments issued by Customers to registered Vendors for purchases of commodities or contractual services will be assessed Transaction Fees as prescribed by rule 60A-1.031, F.A.C., or as may otherwise be established by law. Vendors must pay the Transaction Fees and agree to automatic deduction of the Transaction Fees when automatic deduction becomes available. Vendors will submit any monthly reports required pursuant to the rule. All such reports and payments will be subject to audit. Failure to comply with the payment of the Transaction Fees or reporting of transactions will constitute grounds for declaring the Vendor in default and subject the Vendor to exclusion from business with the State of Florida.

  • Transaction Fee In connection with the creation or redemption of Creation Units, the Transfer Agent shall charge, and the Participant agrees to pay, the Transaction Fee prescribed in the Prospectus and such additional amounts as may be prescribed pursuant to the Prospectus. Such Transaction Fee and additional amounts, if any, shall be included in the calculation of the Cash Component or Cash Redemption Amount payable or to be received, as the case may be, by the Participant in connection with the creation or redemption order.

  • Brokerage Fee Seller agrees to sell the above described Property on the terms and conditions stated in the foregoing Contract, and does hereby approve, ratify and confirm such Contract in all respects. Further, Seller acknowledges the employment of KIRE as the real estate broker in this transaction and agrees to pay said broker a fee under a previously executed listing agreement. The said brokerage fee is to be paid at the Closing of this transaction and shall be deducted from the Downpayment herein before described and disbursed from KIRE’s escrow account at Closing. If there is not a sufficient Downpayment deposited to cover the brokerage fee, the balance shall be disbursed by cashier's check or wire transfer at the time of Closing. Purchaser and Seller do hereby release, acquit, and forever discharge KIRE, its agents, servants, representatives, heirs, administrators, successors and assigns, of and from any and all actions, causes of action, claims, demands, damages, costs, loss of services, expenses and compensation, on account of, or in any way growing out of any and all known and unknown injuries and damages of whatsoever nature, whether past, present or future, and the results of such injuries and damages, incurred in connection with, occasioned by or resulting from the execution, delivery and closing of the transaction contemplated in this Contract.

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