Recordkeeping. The Dealer Manager agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep such records with respect to each customer who purchases Primary Shares, the customer’s suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.
Appears in 30 contracts
Samples: Dealer Agreement (NorthStar Real Estate Income II, Inc.), Dealer Manager Agreement (NorthStar Real Estate Income II, Inc.), Participating Dealer Agreement (NorthStar Healthcare Income, Inc.)
Recordkeeping. The Dealer Manager agrees to comply with the record keeping requirements of the Exchange Act, including including, but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep such records with respect to each customer who purchases Primary Shares, the customer’s suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.
Appears in 16 contracts
Samples: Dealer Manager Agreement (Steadfast Apartment REIT, Inc.), Dealer Manager Agreement (Moody National REIT II, Inc.), Dealer Manager Agreement (Steadfast Apartment REIT, Inc.)
Recordkeeping. The Dealer Manager agrees to comply with the record keeping requirements of the Exchange Act, including including, but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep such records with respect to each customer who purchases Primary Offered Shares, the customer’s suitability and the amount of Primary Offered Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the CompanyFund.
Appears in 6 contracts
Samples: Participating Dealer Agreement (Steadfast Alcentra Global Credit Fund), Participating Dealer Agreement (Stira Alcentra Global Credit Fund), Participating Dealer Agreement (Steadfast Alcentra Global Credit Fund)
Recordkeeping. The Dealer Manager agrees to comply comply, and to require each Participating Dealer to comply, with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep keep, and to require each Participating Dealer to keep, such records with respect to each customer who purchases Primary Shares, the customer’s suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.
Appears in 5 contracts
Samples: Dealer Manager Agreement (Bluerock Enhanced Multifamily Trust, Inc.), Bluerock Enhanced Multifamily REIT, Inc., Bluerock Enhanced Multifamily REIT, Inc.
Recordkeeping. The Dealer Manager agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep such records with respect to each customer who purchases Primary Shares, the customer’s suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the CompanyFund.
Appears in 4 contracts
Samples: Northstar Corporate Income Fund (NorthStar Corporate Income Fund), NorthStar Corporate Income Fund-T, NorthStar Global Corporate Income Fund
Recordkeeping. The Dealer Manager agrees to comply comply, and to require each Participating Broker-Dealer to comply, with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep keep, and to require each Participating Broker-Dealer to keep, such records with respect to each customer who purchases Primary SharesUnits, the customer’s suitability and the amount of Primary Shares Units sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.
Appears in 3 contracts
Samples: Dealer Manager Agreement (Bluerock Residential Growth REIT, Inc.), Dealer Manager Agreement (Bluerock Residential Growth REIT, Inc.), Dealer Manager Agreement (Bluerock Residential Growth REIT, Inc.)
Recordkeeping. The Dealer Manager agrees to comply comply, and to require each Participating Broker-Dealer to comply, with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep keep, and to require each Participating Broker-Dealer to keep, such records with respect to each customer who purchases Primary Shares, the customer’s suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.
Appears in 2 contracts
Samples: Dealer Manager Agreement (Bluerock Homes Trust, Inc.), Dealer Manager Agreement (Bluerock Residential Growth REIT, Inc.)
Recordkeeping. The Dealer Manager agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep such records with respect to each customer who purchases Primary Shares, the customer’s suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the CompanyTrust.
Appears in 2 contracts
Samples: Dealer Manager Agreement (NorthStar Real Estate Capital Income Fund-T), Dealer Manager Agreement (NorthStar Real Estate Capital Income Fund)
Recordkeeping. The Dealer Manager agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep such records with respect to each customer who purchases Primary Shares, the customer’s suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.
Appears in 1 contract
Samples: Dealer Manager Agreement (NorthStar/RXR New York Metro Income, Inc.)
