Client Introduction by Adviser Sample Clauses

Client Introduction by Adviser. 1.1 On the basis of the representations, warranties and covenants herein contained, but subject to the terms and conditions herein set forth, Managing Broker-Dealer hereby makes the Bonds available for purchase by the clients of Adviser in a public offering exempt from registration pursuant to: (i) Regulation A (“Regulation A”) promulgated under the Securities Act of 1933, as amended (the “Securities Act”); and (ii) applicable state blue sky exemptions. As disclosed in the Offering Circular, clients of the Adviser may purchase Bonds in the Offering net of all or a portion of selling commissions and/or Managing Broker-Dealer Broker Dealer Fees. Adviser acknowledges that Managing Broker-Dealer may cooperate with other registered investment advisers in this Offering.
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Client Introduction by Adviser. 1.1 On the basis of the representations, warranties, and covenants herein contained, but subject to the terms and conditions herein set forth, the Company hereby makes the Bonds available for purchase by the clients of Adviser in an offering pursuant to: (i) Regulation A promulgated under the Securities Act of 1933, as amended (the “Securities Act”); and (ii) applicable state blue sky exemptions. As disclosed in the Offering Circular, clients of the Adviser may purchase the Bonds in the Offering net of selling commissions in recognition of the fact that the Company will not pay Adviser a selling commission. Adviser acknowledges that the Company may cooperate with other registered investment advisers in this Offering and has engaged Primus Financial Services, LLC, a Florida limited liability company (“Managing Broker-Dealer”), a registered broker-dealer and a member of the Financial Industry Regulatory Authority, Inc. (“FINRA”) as the managing broker-dealer for the Offering, which may engage other registered broker dealers to sell the Bonds in the Offering.
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