Brokers and Dealers. The Underwriter may, in its sole discretion and at no additional obligation to the Company, use the services of other brokers or dealers who are members of FINRA in connection with the offer and sale of the Certificates. The Underwriter may enter into agreements with any such broker or dealers to act as sub-agents for the sale of the Certificates and pay any portion of the Underwriter’s compensation hereunder to such brokers or dealers.
Brokers and Dealers. 7 Section 2.05 Agent's Unrelated Activities..................................7 Section 2.06 Best Efforts; Independent Contractor..........................7 Section 2.07 Issuance and Payment..........................................8
Brokers and Dealers. The Agent may, in its sole discretion and at no additional obligation or expense to the Company, use the services of other brokers or dealers who are members in good standing of the NASD in connection with the offer and sale of the Notes. The Agent may enter into agreements with any such broker or dealer to act as its sub-agents for the sale of the Notes and shall be solely responsible for the payment of any portion of the Agent's compensation hereunder to such broker or dealer.
Brokers and Dealers. The Purchaser has not dealt with any broker or finder in connection with the transactions contemplated by this Subscription Agreement, and has not incurred, and shall not incur, directly or indirectly, any liability for any brokerage or finders’ fees or agents’ commissions or any similar charges in connection with the transactions contemplated by this Subscription Agreement. The Purchaser agrees that it will indemnify and hold harmless the Company and each Indemnified Person (as defined below) from and against any and all claims, demands, or liabilities for broker’s, finder’s, placement, or other similar fees or commissions incurred by the Purchaser in connection with the purchase of the Shares or the consummation of the transactions contemplated by this Subscription Agreement.
Brokers and Dealers. 4 Section 2.04. Underwriter's Unrelated Activities .......................... 4 Section 2.05. Best Efforts; Independent Contractor ........................ 4
Brokers and Dealers. At the discretion of the Company, the Company may, at no additional obligation or expense to the Contractor, use the services of brokers or dealers who are members in good standing of FINRA in connection with the offer and sale of the Notes. The Company may enter into agreements with any such broker or dealer to act as its agents for the sale of the Notes and shall be solely responsible for the payment of any portion of the Contractor’s compensation hereunder to such broker or dealer. The Contractor’s administrative services will apply to all notes sold by brokers or dealers and the Company will compensate the Contractor for such services in accordance with Section 2.03.
Brokers and Dealers. The Agent may, in its sole discretion and at no additional obligation or expense to the Company, and subject to compliance with all applicable Governmental Rules, use the services of other brokers or dealers who are members in good standing of the NASD in connection with the offer and sale of the Notes. The Agent may enter into agreements with any such broker or dealer to act as its sub-agents for the sale of the Notes and the Agent shall be solely responsible for the payment of any portion of the Agent’s compensation hereunder to such broker or dealer, and be solely responsible for any subagents’ compliance with Governmental Rules in connection with the offer and sale of the Notes.
Brokers and Dealers. The Underwriter may, in its sole discretion and at no additional obligation to the Company, use the services of other brokers or dealers who are members of the NASD in connection with the offer and sale of the Certificates. The Underwriter may enter into agreements with any such broker or dealers to act as sub-agents for the sale of the Certificates and pay any portion of the Underwriter's compensation hereunder to such brokers or dealers.
Brokers and Dealers. Upon the request of an Investor, the Agent may, at no additional obligation or expense to the Company, use the services of other brokers or dealers who are members in good standing of the NASD in connection with the offer and sale of the
Brokers and Dealers. In addition to being responsible for supplying recommendations regarding the purchase and sale of securities by the Fund, the Adviser shall recommend brokers and dealers for execution of the Fund's portfolio transactions. The foremost consideration in making such recommendations will be the Fund's obtaining best price and execution. Secondarily, the Adviser may take into account certain additional services provided by broker-dealers to the Fund. The Adviser and any person performing executive, administrative or trading functions for the Fund, whose services are made available to the Fund by the Adviser, are specifically authorized to recommend to the Fund that it allocate brokerage and principal business to firms that provide such services or facilities which, if accepted, might cause the Fund to pay a member of a securities exchange or any other securities broker or dealer an amount of commission or "mark-xx" for effecting the securities transaction in excess of the amount of commission, or at a less advantageous price another member of the exchange, broker or dealer would have charged for effecting that transaction, if the Adviser or such person determine in good faith that such amount of commission, or "mark-xx", as the case may be, is reasonable in relation to the value of the brokerage and research (as such services are defined in Section 28(e) of the securities and Exchange Act of 1934) provided by such member, broker or dealer, viewed in terms of either that particular transaction or the Adviser's evaluation of such person's overall responsibilities with respect to accounts as to which the Adviser or such person exercise investment discretion (as that term is defined in Section 3(a)(35) of the Securities Exchange Act of 1934).
