FINRA Matters. All of the information provided to the Representatives or to counsel for the Underwriters in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correct.
Appears in 15 contracts
Samples: Underwriting Agreement (PermRock Royalty Trust), Underwriting Agreement (Boaz Energy II, LLC), Underwriting Agreement (PermRock Royalty Trust)
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters by the Fund, its officers and trustees in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 FINRA’s conduct rules is true, complete and correct.
Appears in 13 contracts
Samples: Underwriting Agreement (Dreyfus Alcentra Global Credit Income 2024 Target Term Fund, Inc.), Underwriting Agreement (Blackstone / GSO Long-Short Credit Income Fund), Underwriting Agreement (Principal Real Estate Income Fund)
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters by the Company, its officers and directors in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 5110, 5121 or 5121 5190 is true, complete and correctcorrect in all material respects.
Appears in 12 contracts
Samples: Underwriting Agreement (American Realty Capital Properties, Inc.), Underwriting Agreement (American Realty Capital Properties, Inc.), Underwriting Agreement (Sabra Health Care REIT, Inc.)
FINRA Matters. All of the information provided to the Representatives Representative or to counsel for the Underwriters in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correct.
Appears in 10 contracts
Samples: Underwriting Agreement (BGC Partners, Inc.), Underwriting Agreement (WPX Energy, Inc.), Underwriting Agreement (WPX Energy, Inc.)
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters by the Fund, its officers and trustees in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 FINRA’s conduct rules is true, complete and correctcorrect in all material respects.
Appears in 10 contracts
Samples: Underwriting Agreement (Eagle Growth & Income Opportunities Fund), Underwriting Agreement (Calamos Dynamic Convertible & Income Fund), Underwriting Agreement (THL Credit Senior Loan Fund)
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters by the Company and its officers and directors in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 FINRA’s conduct rules is true, complete and correct.
Appears in 9 contracts
Samples: Underwriting Agreement (Triangle Capital CORP), Underwriting Agreement (Triangle Capital CORP), Underwriting Agreement (Triangle Capital CORP)
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters by the Fidus Entities and, to the knowledge of the Fidus Entities, its officers and directors, in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correctcorrect in all material respects.
Appears in 8 contracts
Samples: Underwriting Agreement (FIDUS INVESTMENT Corp), Underwriting Agreement (FIDUS INVESTMENT Corp), Underwriting Agreement (FIDUS INVESTMENT Corp)
FINRA Matters. All of the information provided to the Representatives or to counsel for the Underwriters in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 2720 is true, complete and correctcorrect in all material respects.
Appears in 8 contracts
Samples: Underwriting Agreement (American Finance Trust, Inc), Underwriting Agreement (Monmouth Real Estate Investment Corp), Underwriting Agreement (Global Net Lease, Inc.)
FINRA Matters. All of the information provided to the Representatives Representative or to counsel for the Underwriters in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correctcorrect in all material respects.
Appears in 8 contracts
Samples: Underwriting Agreement (American Finance Trust, Inc), Underwriting Agreement (American Finance Trust, Inc), Underwriting Agreement (Healthcare Trust, Inc.)
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters by the Fund, its officers and directors in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 FINRA’s conduct rules is true, complete and correctcorrect in all material respects.
Appears in 7 contracts
Samples: Underwriting Agreement (Flaherty & Crumrine Dynamic Preferred & Income Fund Inc), Underwriting Agreement (Ares Multi-Strategy Credit Fund, Inc.), Underwriting Agreement (Prudential Global Short Duration High Yield Fund, Inc.)
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters by the Fund, its officers and directors in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 FINRA’s conduct rules is true, complete and correct.
Appears in 6 contracts
Samples: Underwriting Agreement (Tortoise Power & Energy Infrastructure Fund Inc), Underwriting Agreement (Brookfield Mortgage Opportunity Income Fund Inc.), Underwriting Agreement (Western Asset Municipal Defined Opportunity Trust Inc.)
FINRA Matters. All of the information provided to the Representatives or to counsel for the Underwriters by the Carvana Parties in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correct.
Appears in 5 contracts
Samples: Underwriting Agreement (Carvana Co.), Underwriting Agreement (Carvana Co.), Underwriting Agreement (Carvana Co.)
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters by the Fund, its officers and Trustees in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 FINRA’s conduct rules is true, complete and correctcorrect in all material respects.
Appears in 5 contracts
Samples: Underwriting Agreement (Nuveen Energy MLP Total Return Fund), Underwriting Agreement (Nuveen Mortgage Opportunity Term Fund), Underwriting Agreement (Nuveen Mortgage Opportunity Term Fund)
FINRA Matters. All of the information provided to the Representatives or to counsel for the Underwriters by the Company in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5100, 5110 or 5121 is true, complete and correctcorrect in all material respects.
Appears in 5 contracts
Samples: Underwriting Agreement (TriplePoint Venture Growth BDC Corp.), Underwriting Agreement (TriplePoint Venture Growth BDC Corp.), Underwriting Agreement (TriplePoint Venture Growth BDC Corp.)
FINRA Matters. All of the information provided to the Representatives or to counsel for the Underwriters in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 2720 is true, complete and correct.
Appears in 4 contracts
Samples: Underwriting Agreement (Zogenix, Inc.), Underwriting Agreement (Zogenix, Inc.), Underwriting Agreement (Clarus Therapeutics Inc)
FINRA Matters. All of the information provided to the Representatives or to counsel for the Underwriters in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correctcorrect in all material respects.
Appears in 4 contracts
Samples: Underwriting Agreement (Horizon Global Corp), Underwriting Agreement (Global Net Lease, Inc.), Underwriting Agreement (Global Net Lease, Inc.)
FINRA Matters. All of the information provided to the Representatives or to counsel for the Underwriters by the Company in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correctcorrect in all material respects.
Appears in 4 contracts
Samples: Underwriting Agreement (Home Loan Servicing Solutions, Ltd.), Underwriting Agreement (Home Loan Servicing Solutions, Ltd.), Underwriting Agreement (Home Loan Servicing Solutions, Ltd.)
FINRA Matters. All of the information provided to the Representatives or to counsel for the Underwriters by or on behalf of such Selling Stockholder in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correct.
Appears in 4 contracts
Samples: Underwriting Agreement (Tabula Rasa HealthCare, Inc.), Underwriting Agreement (Carvana Co.), Underwriting Agreement (Runway Growth Finance Corp.)
FINRA Matters. All of the information provided to the Representatives Representative or to counsel for the Underwriters in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule Rules 5110 or 5121 is true, complete and correctcorrect in all material respects.
Appears in 3 contracts
Samples: Underwriting Agreement (NGL Energy Partners LP), Underwriting Agreement (NGL Energy Partners LP), Underwriting Agreement (NGL Energy Partners LP)
FINRA Matters. All of the information provided by the Company to the Representatives Underwriter or to counsel for the Underwriters Underwriter in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correct.
Appears in 3 contracts
Samples: Underwriting Agreement (StealthGas Inc.), Underwriting Agreement (StealthGas Inc.), Underwriting Agreement (StealthGas Inc.)
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule Rules 5110 or 5121 is true, complete and correctcorrect in all material respects.
Appears in 3 contracts
Samples: Underwriting Agreement (NGL Energy Partners LP), Underwriting Agreement (NGL Energy Partners LP), Underwriting Agreement (NGL Energy Partners LP)
FINRA Matters. All of the information provided to the Representatives or to counsel for the Underwriters in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule Rules 5110 or 5121 is true, complete and correctcorrect in all material respects.
Appears in 2 contracts
Samples: Underwriting Agreement (NGL Energy Partners LP), Underwriting Agreement (NGL Energy Partners LP)
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters by the Trust, its officers and trustees in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule FINRA’s conduct rules (Rules 5100, 5110 or 5121 5121), including legacy NASD rules, is true, complete and correct.
Appears in 2 contracts
Samples: Underwriting Agreement (Tekla Healthcare Opportunities Fund), Underwriting Agreement (Tekla World Healthcare Fund)
FINRA Matters. All of the information provided by the Company to the Representatives Underwriter or to counsel for the Underwriters Underwriter in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correctcorrect in all material respects.
Appears in 2 contracts
Samples: Underwriting Agreement (Modiv Inc.), Underwriting Agreement (Modiv Inc.)
FINRA Matters. All of the information provided to the Representatives Representative or to counsel for the Underwriters in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 2720 is true, complete and correctcorrect in all material respects.
Appears in 2 contracts
Samples: Underwriting Agreement (Monmouth Real Estate Investment Corp), Underwriting Agreement (Monmouth Real Estate Investment Corp)
FINRA Matters. All of the information provided to the Representatives or to counsel for the Underwriters by the Company in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 2310, 5110 or 5121 is true, complete and correctcorrect in all material respects.
Appears in 2 contracts
Samples: Underwriting Agreement (TriplePoint Venture Growth BDC Corp.), Underwriting Agreement (TriplePoint Venture Growth BDC Corp.)
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters by the Fund, its officers and Trustees in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 the NASD’s conduct rules is true, complete and correct.
Appears in 2 contracts
Samples: Underwriting Agreement (Calamos Global Dynamic Income Fund), Underwriting Agreement (Calamos Strategic Total Return Fund)
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters by the Fund, its officers and trustees in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 FINRA’s conduct rules (and applicable legacy NASD rules) is true, complete and correctcorrect in all material respects.
Appears in 2 contracts
Samples: Underwriting Agreement (AllianzGI Diversified Income & Convertible Fund), Underwriting Agreement (Eaton Vance Floating-Rate Income Plus Fund)
FINRA Matters. All of the The information provided to the Representatives Underwriters or to counsel for the Underwriters by the Company in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or FINRA Rule 5121 is true, complete and correctcorrect in all material respects.
Appears in 2 contracts
Samples: Underwriting Agreement (Regional Management Corp.), Underwriting Agreement (Regional Management Corp.)
FINRA Matters. All of the information provided by the Company to the Representatives Representative or to counsel for the Underwriters in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correctcorrect in all material respects.
Appears in 2 contracts
Samples: Underwriting Agreement (Modiv Inc.), Underwriting Agreement (Modiv Inc.)
FINRA Matters. All of the information provided to the Representatives or to counsel for the Underwriters by the Company in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correct.
Appears in 1 contract
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters by the Fund, the Adviser, the Sub-Advisers and the Fund's officers and trustees in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 FINRA's conduct rules is true, complete and correct.
Appears in 1 contract
Samples: Underwriting Agreement (First Trust Dynamic Europe Equity Income Fund)
FINRA Matters. All of the information provided to the Representatives or to counsel for the Underwriters by the Company or its representatives in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correct.
Appears in 1 contract
Samples: Underwriting Agreement (Palmer Square Capital BDC Inc.)
FINRA Matters. All of the information provided to the Representatives Underwriter or to counsel for the Underwriters Underwriter in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correct.
Appears in 1 contract
Samples: Underwriting Agreement (Applied Genetic Technologies Corp)
FINRA Matters. All of the The information provided to the Representatives Underwriters or to counsel for the Underwriters by the Company in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or FINRA Rule 5121 is true, complete and correct.
Appears in 1 contract
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters by the Fund, its officers and trustees in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 FINRA's conduct rules is true, complete and correct.
Appears in 1 contract
Samples: Underwriting Agreement (First Trust High Income Long/Short Fund)
FINRA Matters. All of the information provided to the Representatives or to counsel for the Underwriters in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, true complete and correctcorrect in all material respects.
Appears in 1 contract
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters by the Fidus Entities and, to the knowledge of the Fidus Entities, its officers and, directors, and the former limited partners of the Fund in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Conduct Rule 5110 or 5121 5100 is true, complete and correctcorrect in all material respects.
Appears in 1 contract
Samples: Investment Advisory Agreement (FIDUS INVESTMENT Corp)
FINRA Matters. All of the information provided by the Company to the Representatives or to counsel for the Underwriters in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correctcorrect in all material respects.
Appears in 1 contract
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters by the Fund, its officers and trustees in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 FINRA’s conduct rules (and applicable legacy NASD conduct rules) is true, complete and correctcorrect in all material respects.
Appears in 1 contract
Samples: Underwriting Agreement (Ivy High Income Opportunities Fund)
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters by the Fund, its officers and Directors in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 FINRA’s conduct rules is true, complete and correct.
Appears in 1 contract
Samples: Underwriting Agreement (Seligman Premium Technology Growth Fund, Inc.)
FINRA Matters. All of the information provided to the Representatives or to counsel for the Underwriters by or on behalf of such Selling Unitholder in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correct.
Appears in 1 contract
FINRA Matters. All of the information provided by the Company to the Representatives or to counsel for the Underwriters in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correct.
Appears in 1 contract
FINRA Matters. All of the information provided to the Representatives Underwriter or to counsel for the Underwriters Underwriter in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule Rules 5110 or 5121 is true, complete and correctcorrect in all material respects.
Appears in 1 contract
FINRA Matters. All of the information provided to the Representatives Representative or to counsel for the Underwriters Underwriter in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correctcorrect in all material respects.
Appears in 1 contract
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters by the Fidus Entities and, to the knowledge of the Fidus Entities, its officers and, directors, and the former limited partners of the SBIC Fund in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, complete and correctcorrect in all material respects.
Appears in 1 contract
FINRA Matters. All of the information provided to the Representatives Representative or to counsel for the Underwriters in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 is true, true complete and correctcorrect in all material respects.
Appears in 1 contract
Samples: Tetra Technologies Inc
FINRA Matters. All To the extent applicable, all of the information provided to the Representatives Representative or to counsel for the Underwriters by the Company in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule Rules 2310, 5110 or 5121 is true, complete and correctcorrect in all material respects.
Appears in 1 contract
Samples: Main Street Capital CORP
FINRA Matters. All of the information provided to the Representatives Underwriters or to counsel for the Underwriters by the Fund, its officers and trustees in connection with any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rule 5110 or 5121 FINRA's conduct rules is true, complete and correctcorrect in all material respects.
Appears in 1 contract
Samples: Underwriting Agreement (MainStay DefinedTerm Municipal Opportunities Fund)
