Suitability. (A) A member or person associated with a member shall not underwrite or participate in a public offering of a direct participation program unless standards of suitability have been established by the program for participants therein and such standards are fully disclosed in the prospectus and are consistent with the provisions of subparagraph (B) of this section.
Appears in 17 contracts
Samples: Selling Dealer Agreement (LEAF Equipment Leasing Income Fund III, L.P.), Selling Dealer Agreement (LEAF Equipment Leasing Income Fund III, L.P.), Escrow Agreement (LEAF Equipment Finance Fund 4, L.P.)
Suitability. (A) A member or person associated with a member shall not underwrite or participate in a public offering of a direct participation program unless standards of suitability have been established by the program for participants therein and such standards are fully disclosed in the prospectus and are consistent with the provisions of subparagraph (B) of this section).
Appears in 9 contracts
Samples: Escrow Agreement (MDS Energy Public 2013-B Lp), Escrow Agreement (MDS Energy Public 2014-B Lp), Dealer Manager Agreement (Atlas Resources Public #16-2007 (B) L.P.)
Suitability. (A) A member or person associated with a member number shall not underwrite or participate in a public offering of a direct participation program unless standards of suitability have been established by the program for participants therein and such standards are fully disclosed in the prospectus and are consistent with the provisions of subparagraph (B) of this section.
Appears in 7 contracts
Samples: Selected Dealer Agreement (Global Express Capital Real Estate Investment Fund I LLC), Global Express Capital Real Estate Investment Fund I LLC, Vestin Fund Ii LLC
Suitability. (A) A member or person associated with a member number shall not underwrite or participate in a public offering of a direct participation program unless standards of suitability have been established by the program for participants therein and such standards are fully disclosed in the prospectus and are consistent with the provisions of subparagraph (B) of this section).
Appears in 3 contracts
Samples: Vestin Fund Iii LLC, Re Investments Iii LLC, Re Investments Iii LLC
Suitability. (A) A member or person associated with a member shall not underwrite or participate in a public offering of a direct participation program unless standards of suitability have been established by the program for participants therein and such standards are fully disclosed in the Anthem Securities, Inc. Dealer-Manager Agreement prospectus and are consistent with the provisions of subparagraph (B) of this section).
Appears in 1 contract
Samples: Escrow Agreement (Atlas America Public #16-2007 (A) L.P.)
Suitability. (A) A member or person associated with a member shall not underwrite or participate in a public offering of a direct participation program unless standards of suitability have been established by the program for participants therein and such standards are fully disclosed in the prospectus and are consistent with the provisions of subparagraph (B) of this section.. 2 Anthem Securities, Inc. Selling Agent Agreement
Appears in 1 contract
Samples: Escrow Agreement (Atlas America Public # 14-2004 Program)
