Compliance with Record Keeping Requirements. Participating Broker-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 Broker-Dealer further agrees to keep such records with respect to each customer who purchases Offered Shares, his or her suitability and the amount of Offered Shares sold, and to retain such records for such period of time as may be required by the SEC, any state securities commission, FINRA or the Corporation.
Appears in 7 contracts
Samples: Dealer Manager Agreement (Owl Rock Technology Income Corp.), Dealer Manager Agreement (Owl Rock Technology Income Corp.), Dealer Manager Agreement (Owl Rock Core Income Corp.)
Compliance with Record Keeping Requirements. Participating Broker-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 Broker-Dealer further agrees to keep such records with respect to each customer who purchases Offered Primary Shares, his or her suitability and the amount of Offered Primary Shares sold, and to retain such records for such period of time as may be required by the SECCommission, any state securities commission, FINRA or the CorporationCompany.
Appears in 6 contracts
Samples: Dealer Manager Agreement (Jones Lang LaSalle Income Property Trust, Inc.), Dealer Manager Agreement (Jones Lang LaSalle Income Property Trust, Inc.), Dealer Agreement (Clarion Partners Property Trust Inc.)
Compliance with Record Keeping Requirements. Participating Broker-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 Broker-Dealer further agrees agrees, as required by law, to keep such records with respect to each customer who purchases Offered Primary Shares, his or her such customer’s suitability and the amount of Offered Primary Shares sold, and to retain such records for such period of time as may be required by the SECCommission, any state securities commission, FINRA or the CorporationCompany.
Appears in 4 contracts
Samples: Dealer Manager Agreement (Jones Lang LaSalle Income Property Trust, Inc.), Dealer Manager Agreement (Jones Lang LaSalle Income Property Trust, Inc.), Dealer Manager Agreement (Jones Lang LaSalle Income Property Trust, Inc.)
Compliance with Record Keeping Requirements. Participating Broker-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 Broker-Dealer further agrees to keep such records with respect to each customer investor who purchases Offered Primary Shares, his or her such investor’s suitability and the amount of Offered Primary Shares sold, and to retain such records for six years or such period of time as may be required by the SEC, any state securities commission, FINRA or the CorporationCompany, whichever is later. Participating Broker-Dealer agrees to promptly provide such records and documents to the Dealer Manager upon the Dealer Manager’s reasonable request.
Appears in 3 contracts
Samples: Dealer Manager Agreement (Procaccianti Hotel Reit, Inc.), Dealer Agreement (Procaccianti Hotel Reit, Inc.), Dealer Manager Agreement (Procaccianti Hotel Reit, Inc.)
Compliance with Record Keeping Requirements. Participating Broker-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 Broker-Dealer further agrees to keep such records with respect to each customer who purchases Offered Shares, his or her suitability and the amount of Offered Shares sold, and to retain such records for such period of time as may be required by the SEC, any state securities commission, FINRA or the CorporationFund.
Appears in 3 contracts
Samples: Advisor Agreement (Eagle Point Enhanced Income Trust), Dealer Agreement (Eagle Point Institutional Income Fund), Dealer Manager Agreement (Eagle Point Institutional Income Fund)
Compliance with Record Keeping Requirements. Participating Broker-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 Broker-Dealer further agrees to keep such records with respect to each customer who purchases Offered Shares, his or her suitability and the amount of Offered Shares sold, and to retain such records for such period of time as may be required by the SEC, any state securities commission, FINRA or the CorporationTrust.
Appears in 2 contracts
Samples: Dealer Agreement (Oak Street Net Lease Trust), Dealer Agreement (Blue Owl Real Estate Net Lease Trust)
Compliance with Record Keeping Requirements. Participating Broker-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 Broker-Dealer further agrees to keep such records with respect to each customer who purchases Offered Primary Shares, his or her suitability and the amount of Offered Primary Shares sold, and to retain such records for six years or such period of time as may be required by the SEC, any state securities commission, FINRA or the CorporationCompany, whichever is later. Participating Broker-Dealer agrees to promptly provide such records and documents to the Dealer Manager upon the Dealer Manager’s reasonable request.
Appears in 2 contracts
Samples: Dealer Manager Agreement (RREEF Property Trust, Inc.), Dealer Agreement (RREEF Property Trust, Inc.)
Compliance with Record Keeping Requirements. Participating Broker-Dealer agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 Act and 17a-4 the rules promulgated under the Exchange Act. Participating Broker-Dealer further agrees to keep such records with respect to each customer who purchases Offered Primary Shares, his or her the investor’s suitability and the amount of Offered Primary Shares sold, and to retain such records for such period of time as may be required by the SECCommission, any state securities commission, FINRA or the CorporationCompany.
Appears in 1 contract
Samples: Dealer Manager Agreement (Jones Lang LaSalle Income Property Trust, Inc.)
Compliance with Record Keeping Requirements. Participating Broker-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 Broker-Dealer further agrees to keep such records with respect to each customer who purchases Offered Shares, his or her their suitability and the amount of Offered Shares soldsold by class, and to retain such records for such period of time as may be required by the SEC, any state securities commission, FINRA or the CorporationCompany.
Appears in 1 contract
