Submission of Orders; Right to Reject Orders. (a) Subject to certain individual state requirements as described in the Prospectus, Shares may be sold only to investors who initially purchase a minimum of 100 Shares for $1,000 or, unless prohibited by state law, a husband and wife may jointly contribute funds from their separate individual retirement accounts, or IRAs, provided that each such contribution is made in increments of $500. With respect to Soliciting Dealer’s participation in any resales or transfers of the Shares, Soliciting Dealer agrees to comply with any applicable requirements set forth in Section 2 and to fulfill the obligations pursuant to Rule 2810 of the FINRA Rules of Conduct.
Appears in 3 contracts
Samples: Soliciting Dealer Agreement (Business Development Corp of America), Soliciting Dealer Agreement (Business Development Corp of America), Soliciting Dealer Agreement (Business Development Corp of America)
Submission of Orders; Right to Reject Orders. (a) Subject to certain individual state requirements as described in the Prospectus, Shares may be sold only to investors who initially purchase a minimum of 100 Shares for $1,000 in Shares or, unless prohibited by state law, a husband and wife may jointly contribute funds from their separate individual retirement accounts, or IRAs, provided that each such contribution is made in increments of $500. With respect to Soliciting Dealer’s participation in any resales or transfers of the Shares, Soliciting Dealer agrees to comply with any applicable requirements set forth in Section 2 and to fulfill the obligations pursuant to Rule 2810 of the FINRA Rules of Conduct.
Appears in 1 contract
Samples: Soliciting Dealer Agreement (Business Development Corp of America)