managing dealer definition

managing dealer means a person that has entered into an agreement with an issuer under which the person has agreed to organize and participate in the solicitation of the exercise of the rights issued by the issuer;

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managing dealer means CNL Securities Corp., an Affiliate of the Advisor, or such other Person or entity selected by the Board of Directors to act as the managing dealer for a securities offering by the Company. CNL Securities Corp. is a member of FINRA.

managing dealer means a dealer that has entered into an agreement with an issuer under which the dealer has agreed to organize, and participate in, the solicitation of the exercise of rights issued by the issuer;

Examples of managing dealer in a sentence

• The Broker agrees that the Managing Dealer is not and does not intend to be in any fiduciary relationship or contract with investors or clients of the Broker.

• The Broker agrees to cooperate with the Company and the Managing Dealer in gathering additional information in respect of an investor or the source of the investor’s funds as reasonably requested by the Managing Dealer or the Company, and agrees to cooperate with the Company and the Managing Dealer in connection with anti-money laundering laws and regulations.

• The Managing Dealer shall give the Broker written notice of those states in which the offering and sale of Shares may be made, and shall amend such notice thereafter as additional states are added; no Shares shall be offered or sold in any other states.

• The Broker's obligations hereunder are subject, during the full term of this Agreement and the Offering, to (a) the performance by the Managing Dealer of its obligations hereunder, and (b) the conditions that: (i) the Memorandum shall remain in effect, and (ii) no stop order shall have been issued suspending the sale of the Shares.

• Such other participating broker-dealers may be employed by the Managing Dealer as brokers on terms and conditions identical or similar to this Agreement and shall receive such rates of compensation as are agreed to between the Managing Dealer and the respective other participating broker-dealers and as are in accordance with the terms of the Memorandum.

More Definitions of managing dealer

managing dealer means ▇▇▇▇▇ Real Estate Securities, Inc., a Delaware corporation, or such other entity selected by the Board of Directors to act as the managing dealer for the Offering.

managing dealer means such Person selected by the Board of Directors to act as the managing dealer for the offering.

managing dealer means CNL Securities Corp., an Affiliate of the Manager, or such other Person or entity selected by the Board of Directors to act as the managing dealer for the Offering of the Shares in an Initial Public Offering. CNL Securities Corp. is a member of FINRA.

managing dealer means Hines Real Estate Securities, Inc., a Delaware corporation, or such o▇▇▇▇ entity selected by the Board of Directors to act as the managing dealer for the Offering.

managing dealer means ▇▇▇▇▇ Investments, Inc., a Wisconsin corporation, or such other entity selected by the Board of Directors to act as the managing dealer for the Offering if the Company and the Advisor determine that having a Managing Dealer is necessary or appropriate for the Offering.

managing dealer in accordance with the provisions of this Agreement, (ii) the Company has accepted such subscription, and (iii) such investor has been admitted as a shareholder of the Company.

managing dealer means Metropolitan Investment Securities, Inc.