Common use of Compliance with Record Keeping Requirements Clause in Contracts

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Shares, his suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Shares, his suitability and the amount of Primary Shares sold, sold and to retain such records for such period of time as may be required by the CommissionSEC, any state securities commission, FINRA or the Company.

Compliance with Record Keeping Requirements. Participating The Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Shares, his the customer’s suitability and the amount of Primary Shares sold, and to retain such records for six (6) years or such longer period of time as may be required by the CommissionSEC, any state securities commission, FINRA or the Company.

Compliance with Record Keeping Requirements. Participating Selected Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Selected Dealer further agrees to keep such records with respect to each customer who purchases Primary Offered Shares, his suitability and the amount of Primary Offered Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Shares, his suitability and the amount of Primary Shares sold, sold and to retain such records for such period of time as may be required by the CommissionSEC, any state securities commission, FINRA the NASD or the Company.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Shares, his suitability and the amount of Primary Shares sold, sold and to retain such records for such period of time as may be required by the CommissionSEC, any state securities commission, FINRA FINRA, the Dealer Manager or the Company.

Compliance with Record Keeping Requirements. Participating Selected Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Selected Dealer further agrees to keep such records with respect to each customer who purchases Primary Offered Shares, his suitability and the amount of Primary Offered Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the CompanyCorporation.

Compliance with Record Keeping Requirements. Participating Selected Dealer agrees to comply with the record keeping requirements of the Exchange Act, including including, but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Selected Dealer further agrees to keep such records with respect to each customer who purchases Primary Offered Shares, his or her suitability and the amount of Primary Offered Shares sold, and to retain such records for such period of time as may be required by the CommissionSEC, any state securities commission, FINRA or the CompanyFund.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Offered Shares, his suitability and the amount of Primary Offered Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Offered Shares, his suitability and the amount of Primary Offered Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the CompanyFund.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary SharesBonds, his suitability and the amount of Primary Shares sold, Bonds sold and to retain such records for such period of time as may be required by the Commission, any state securities commissionSEC, FINRA or the Company.

Compliance with Record Keeping Requirements. Participating The Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Shares, his suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.

Compliance with Record Keeping Requirements. Participating Selected Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Selected Dealer further agrees to keep such records with respect to each customer who purchases Primary Offered Shares, his suitability and the amount of Primary Offered Shares sold, and to retain such records for such period of time as may be required by the CommissionSEC, any state securities commission, FINRA or the CompanyCorporation.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Shares, his or her suitability and the amount of Primary Shares sold, sold and to retain such records for such period of time as may be required by the CommissionSEC, any state securities commission, FINRA or the Company.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Shares, his suitability and the amount of Primary Shares sold, sold and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA the NASD or the Company.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record record-keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Shares, his suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.

Compliance with Record Keeping Requirements. Participating The Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating The Dealer further agrees to keep such records with respect to each customer who purchases Primary Sharesof Dealer’s customers, his suitability and the amount of Primary Shares sold, sold and to retain such records for such period of time as may be required by the CommissionSEC, any state securities commission, FINRA or the Company.

Compliance with Record Keeping Requirements. Participating The Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating The Dealer further agrees to keep such records with respect to each customer who purchases Primary Shares, his suitability and the amount of Primary Shares sold, sold and to retain such records for such period of time as may be required by the CommissionSEC, any state securities commission, FINRA or the Company.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Shares, his suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the CompanyTrust.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including including, but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Offered Shares, his or her suitability and the amount of Primary Offered Shares sold, and to retain such records for such period of time as may be required by the CommissionSEC, any state securities commission, FINRA or the CompanyFund.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Shares, his the customer’s suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the CommissionSEC, any state securities commission, FINRA FINRA, the Dealer Manager, or the Company. Dealer agrees to make such records available to the Dealer Manager and the Company upon request.

Compliance with Record Keeping Requirements. Participating Selected Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Selected Dealer further agrees to keep such records with respect to each customer who purchases Primary Offered Shares, his suitability and the amount of Primary Offered Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the CompanyFund.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary SharesBonds, his suitability and the amount of Primary Shares sold, Bonds sold and to retain such records for such period of time as may be required by the CommissionSEC, any state securities commission, FINRA or the Company.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Shares, his suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA the NASD or the Company.

Compliance with Record Keeping Requirements. Participating The Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating The Dealer further agrees to keep such records with respect to each customer Customer who purchases Primary Shares, his suitability and the amount of Primary Shares sold, sold and to retain such records for such period of time as may be required by the CommissionCommission , any state securities commission, FINRA or the Company.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Shares, his suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the CompanyFund.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Shares, his suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary SharesNotes, his suitability and the amount of Primary Shares sold, Notes sold and to retain such records for such period of time as may be required by the CommissionSEC, any state securities commission, FINRA or the Company.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Offered Shares, his suitability and the amount of Primary Offered Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.. Triton Pacific Investment Corporation, Inc.

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer who purchases Primary Offered Shares, his suitability and the amount of Primary Offered Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.. Triton Pacific Investment Corporation, Inc. Dealer Manager Agreement

Compliance with Record Keeping Requirements. Participating Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. Participating Dealer further agrees to keep such records with respect to each customer Investor who purchases Primary SharesUnits, his suitability and the amount of Primary Shares sold, Units sold and to retain such records for such period of time as may be required by the CommissionSEC, any state securities commission, FINRA or the Company.