Compliance Reporting. The Issuer Entities agree to furnish Ameriprise with such information as Ameriprise may reasonably request concerning transactions and activity in investor accounts of Ameriprise customers containing Shares of the Company to the extent such information is in the Issuer Entities’ possession or can be obtained without unreasonable effort or expense and will otherwise cooperate with Ameriprise as reasonably requested in connection with the transmission of such information to Ameriprise in order to assist Ameriprise in its supervisory responsibilities as required by applicable laws and the rules and regulations of FINRA or other regulatory agencies.
Appears in 4 contracts
Samples: Selected Dealer Agreement, Selected Dealer Agreement (CNL Healthcare Properties, Inc.), Selected Dealer Agreement (CNL Properties Trust, Inc.)
Compliance Reporting. The Issuer Entities agree to furnish Ameriprise with such information as Ameriprise may reasonably request concerning transactions and activity in investor accounts of Ameriprise customers containing Shares of the Company to the extent such information is in the Issuer Entities’ ' possession or can be obtained without unreasonable effort or expense and will otherwise cooperate with Ameriprise as reasonably requested in connection with the transmission of such information to Ameriprise in order to assist Ameriprise in its supervisory responsibilities as required by applicable laws and the rules and regulations of FINRA or other regulatory agencies.
Appears in 2 contracts
Samples: Selected Dealer Agreement (KBS Legacy Partners Apartment REIT, Inc.), Selected Dealer Agreement (KBS Real Estate Investment Trust III, Inc.)
Compliance Reporting. The Issuer Entities agree to furnish Ameriprise with such information as Ameriprise may reasonably request concerning transactions and activity in investor accounts of Ameriprise customers containing Shares of the Company to the extent such information is in the Issuer Entities’ possession or can be obtained without unreasonable effort or expense and will otherwise cooperate with Ameriprise as reasonably requested in connection with the transmission of such information to Ameriprise in order to assist Ameriprise in its supervisory responsibilities as required by applicable laws and the rules and regulations of FINRA or other regulatory agencies.
Appears in 2 contracts
Samples: Selected Dealer Agreement (Carey Watermark Investors Inc), Selected Dealer Agreement (Carey Watermark Investors Inc)
