License and Association Membership. The Broker’s acceptance of this Agreement constitutes a representation to the Company and the Managing Dealer that the Broker is a properly registered or licensed broker-dealer, duly authorized to sell Shares under federal and state securities laws and regulations, and foreign laws (including the laws of the jurisdictions listed on Schedule III), if applicable, and in all states or jurisdictions where it offers or sells Shares, and that it is a member in good standing of FINRA. This Agreement shall automatically terminate if the Broker ceases to be a member in good standing of FINRA. The Broker agrees to notify the Managing Dealer immediately if the Broker ceases to be a member in good standing of FINRA. The Broker also hereby agrees to abide by the Rules of FINRA, including FINRA Rules 2040, 2111, 2121, 2310, 5110 and 5141.
Appears in 8 contracts
Samples: Managing Dealer Agreement (Kennedy Lewis Capital Co), Managing Dealer Agreement (HPS Corporate Lending Fund), Managing Dealer Agreement (Bain Capital Private Credit)
License and Association Membership. The Broker’s acceptance of this Agreement constitutes a representation to the Company and the Managing Dealer Intermediary Manager that the Broker is a properly registered or licensed broker-dealer, duly authorized to sell Shares under federal and state securities laws and regulations, and foreign laws (including the laws of the jurisdictions listed on Schedule III), if applicable, and in all states or jurisdictions where it offers or sells Shares, and that it is a member in good standing of FINRA. This Agreement shall automatically terminate if the Broker ceases to be a member in good standing of FINRA. The Broker agrees to notify the Managing Dealer Intermediary Manager immediately if the Broker ceases to be a member in good standing of FINRA. The Broker also hereby agrees to abide by the Rules of FINRA, including FINRA Rules 2040, 2111, 2121, 2310, 5110 and 5141.
Appears in 5 contracts
Samples: Selected Intermediary Agreement (AG Twin Brook Capital Income Fund), Selected Intermediary Agreement (AG Twin Brook Capital Income Fund), Selected Intermediary Agreement (Apollo Debt Solutions BDC)
License and Association Membership. The Broker’s acceptance of this Agreement constitutes a representation to the Company Fund and the Managing Dealer Intermediary Manager that the Broker is a properly registered or licensed broker-dealer, duly authorized to sell Shares under federal and state securities laws and regulations, and foreign laws (including the laws of the jurisdictions listed on Schedule III), if applicable, and in all states or jurisdictions where it offers or sells Shares, and that it is a member in good standing of FINRA. This Agreement shall automatically terminate if the Broker ceases to be a member in good standing of FINRA. The Broker agrees to notify the Managing Dealer Intermediary Manager immediately if the Broker ceases to be a member in good standing of FINRA. The Broker also hereby agrees to abide by the Rules of FINRA, including FINRA Rules 2040, 2111, 2121, 2310, 5110 and 5141.
Appears in 4 contracts
Samples: Selected Intermediary Agreement (Crescent Private Credit Income Corp), Intermediary Manager Agreement (Ares Strategic Income Fund), Intermediary Manager Agreement (Ares Strategic Income Fund)
License and Association Membership. The Broker’s acceptance of this Agreement constitutes a representation to the Company Fund and the Managing Dealer that the Broker is a properly registered or licensed broker-dealer, duly authorized to sell Shares under federal and state securities laws and regulations, and foreign laws (including the laws of the jurisdictions listed on Schedule III), if applicable, and in all states or jurisdictions where it offers or sells Shares, and that it is a member in good standing of FINRA. This Agreement shall automatically terminate if the Broker ceases to be a member in good standing of FINRA. The Broker agrees to notify the Managing Dealer immediately if the Broker ceases to be a member in good standing of FINRA. The Broker also hereby agrees to abide by the Rules of FINRA, including FINRA Rules 2040, 2111, 2121, 2310, 5110 and 5141.
Appears in 2 contracts
Samples: Managing Dealer Agreement (Fidelity Private Credit Fund), Form of Selected Intermediary Agreement (Fidelity Private Credit Fund)
License and Association Membership. The Broker’s acceptance of this Agreement constitutes a representation to the Company and the Managing Dealer Distribution Manager that the Broker is a properly registered or licensed broker-dealer, duly authorized to sell Shares under federal and state securities laws and regulations, and foreign laws (including the laws of the jurisdictions listed on Schedule III), if applicable, and in all states or jurisdictions where it offers or sells Shares, and that it is a member in good standing of FINRA. This Agreement shall automatically terminate if the Broker ceases to be a member in good standing of FINRA. The Broker agrees to notify the Managing Dealer Distribution Manager immediately if the Broker ceases to be a member in good standing of FINRA. The Broker also hereby agrees to abide by the Rules rules of FINRA, including FINRA Rules 2040, 2111, 2121, 2310, 5110 and 5141.
Appears in 2 contracts
Samples: Selected Intermediary Agreement (Oaktree Strategic Credit Fund), Selected Intermediary Agreement (Oaktree Strategic Credit Fund)
License and Association Membership. The Broker’s acceptance of this Agreement constitutes a representation to the Company and the Managing Dealer that the Broker is a properly registered or licensed broker-dealer, duly authorized to sell Shares under federal and state securities laws and regulations, and foreign laws (including the laws of the jurisdictions listed on Schedule III), if applicable, and in all states or jurisdictions where it offers or sells Shares, and that it is a member in good standing of FINRA. This Agreement shall automatically terminate if the Broker ceases to be a member in good standing of FINRA. The Broker agrees to notify the Managing Dealer immediately if the Broker ceases to be a member in good standing of FINRA. The Broker also hereby agrees to abide by the Rules of FINRA, including including, without limitation, FINRA Rules 2040, 2111, 2121, 2310, 5110 and 5141.
Appears in 2 contracts
Samples: Managing Dealer Agreement (T. Rowe Price OHA Select Private Credit Fund), Managing Dealer Agreement (T. Rowe Price OHA Private Credit Fund)
