Compliance with FINRA Rules. You also hereby agree, represent and covenant that you will require each member of, or person associated with, your firm to inform any prospective purchaser of Interests, prior to his or her subscription for Interests, of all pertinent facts relating to the liquidity and marketability of an investment in Interests during the term of the investment (as provided in FINRA Rule 2310(b)(3)(D)). You also hereby agree to fully comply with all pertinent sections of Article III of FINRA’s Rules of Fair Practice, including, without limitation, Sections 8, 24, and 36 thereof.
Appears in 3 contracts
Samples: Selling Dealer Agreement (ICON Oil & Gas Fund), Dealer Manager Agreement (Icon Eci Fund Fifteen, L.P.), Dealer Manager Agreement (Icon Eci Fund Fifteen, L.P.)
