Compliance with Record Keeping Requirements. Xxxxxx 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. Xxxxxx further agrees to keep such records with respect to each customer who purchases Shares, his suitability and the amount of 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 Company.
Appears in 5 contracts
Samples: Dealer Manager Agreement (Oxford Park Income Fund, Inc.), Dealer Manager Agreement (Oxford Park Income Fund, Inc.), Dealer Manager (Gladstone Capital Corp)
Compliance with Record Keeping Requirements. Xxxxxx 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. Xxxxxx Dealer further agrees to keep such records with respect to each customer who purchases Shares, his suitability and the amount of Shares sold and to retain such records for such period of time as may be required by the SEC, any state securities commission, FINRA FINRA, the Dealer Manager or the Company.
Appears in 1 contract
Samples: Dealer Manager Agreement (Strategic Storage Growth Trust, Inc.)
Compliance with Record Keeping Requirements. Xxxxxx 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. Xxxxxx Dealer further agrees to keep such records with respect to each customer who purchases SharesCommon Stock, his suitability and the amount of Shares Common Stock 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 Company.
Appears in 1 contract
Samples: Selected Dealer Agreement (Prospect Floating Rate & Alternative Income Fund, Inc.)
