Duties and Obligations of the Managing Broker-Dealer. 5.1 All actions by the Managing Broker Dealer and its respective agents, members, employees, and affiliates shall conform to (i) requirements applicable to broker dealers under federal and state securities laws, rules, and regulations, and (ii) applicable requirements and rules of FINRA.
Appears in 6 contracts
Samples: Managing Broker Dealer Agreement (Manufactured Housing Properties Inc.), Managing Broker Dealer Agreement (Trilogy Multifamily Income & Growth Holdings I, LLC), Managing Broker Dealer Agreement (Trilogy Multifamily Income & Growth Holdings I, LLC)
Duties and Obligations of the Managing Broker-Dealer. 5.1 All actions actions, direct or indirect, by the Managing Broker Dealer and Dealer, its respective agents, members, employees, and affiliates affiliates, shall conform to (i) requirements applicable to broker dealers under federal and applicable state securities laws, rules, and regulations, and (ii) applicable requirements and rules of FINRA.
Appears in 1 contract
Samples: Managing Broker Dealer Agreement (Bluerock Homes Trust, Inc.)
