The Managing Broker. Dealer represents that the commissions and fees payable to the Managing Broker-Dealer as set forth in this Agreement are fair, reasonable and not in excess or violation of applicable rules, regulations and other requirements of the SEC, FINRA, Act, the Securities Exchange Act of 1934, as amended (the “Exchange Act”).
Appears in 6 contracts
Samples: Participating Dealer Agreement (Lighthouse Life Capital, LLC), Broker Dealer Agreement (StreamNet, Inc.), Broker Dealer Agreement (HC Government Realty Trust, Inc.)
The Managing Broker. Dealer represents that the commissions and fees payable to the Managing Broker-Dealer as set forth in this Agreement are fair, reasonable and not in excess or violation of applicable rules, regulations and other requirements of the SEC, FINRA, Act, the Securities Exchange Act of 1934, as amended (the “"Exchange Act”").
Appears in 2 contracts
Samples: Broker Dealer Agreement (GK Investment Holdings, LLC), Broker Dealer Agreement (GK Investment Holdings, LLC)
The Managing Broker. Dealer represents that it believes that the commissions and fees payable to the Managing Broker-Dealer as set forth in this Agreement are fair, reasonable and not in excess or violation of applicable rules, regulations and other requirements of the SEC, FINRA, Act, the Securities Exchange Act of 1934, as amended (the “Exchange Act”).”
Appears in 1 contract
Samples: Assignment and Amendatory Agreement (HC Government Realty Trust, Inc.)
The Managing Broker. Dealer represents that it believes the commissions and fees payable to the Managing Broker-Dealer as set forth in this Agreement are fair, reasonable and not in excess or violation of applicable rules, regulations and other requirements of the SEC, FINRA, the Act, or the Securities Exchange Act of 1934, as amended (the “Exchange Act”).
Appears in 1 contract
Samples: Participating Dealer Agreement (HC Government Realty Trust, Inc.)
