Common use of Compliance with Securities Laws and Regulations Clause in Contracts

Compliance with Securities Laws and Regulations. The Company will: (a) use commercially reasonable efforts to cause the Registration Statement and any subsequent amendments thereto to become effective as promptly as possible; (b) promptly furnish the Dealer Manager with a copy of (i) any comments or requests for additional or supplemental information from the SEC or any state securities administrator and (ii) any proposed post-effective amendment to the Registration Statement or any proposed amendment or supplement to the Prospectus; and (iii) the time and date that any post-effective amendment to the Registration Statement becomes effective; (c) timely file every amendment or supplement to the Registration Statement or the Prospectus that may be required by the SEC or under the Securities Act; and (d) if at any time the SEC shall issue any stop order or any other order preventing or suspending the effectiveness of the Registration Statement or the use of the Prospectus, or shall institute any proceeding for that purpose, then, the Company will promptly notify the Dealer Manager and, to the extent the board of directors of the Company, including a majority of the independent directors, determines that such action is in the best interest of the Company, (y) use its commercially reasonable efforts to prevent the issuance of any such order, and (z) if any such order is issued, to obtain the lifting or removal of such order as promptly as possible. Prior to amending or supplementing the Registration Statement, any preliminary prospectus or the Prospectus (including any amendment or supplement through incorporation of any report filed under the Exchange Act), the Company shall furnish to the Dealer Manager for its review, a reasonable period of time prior to the proposed time of filing or use thereof, a copy of each such proposed amendment or supplement.

Appears in 9 contracts

Samples: Dealer Manager Agreement (NexPoint Capital, Inc.), Dealer Manager Agreement (Nexpoint Multifamily Realty Trust, Inc.), Dealer Manager Agreement (NexPoint Hospitality Trust, Inc.)

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Compliance with Securities Laws and Regulations. The Company will: (a) use commercially reasonable efforts to cause the Registration Statement and any subsequent amendments thereto to become effective as promptly as possible; (b) promptly furnish advise the Dealer Manager with a copy of (i) of the receipt of any comments of, or requests for additional or supplemental information from from, the SEC or any state securities administrator and SEC, (ii) of the time and date of any proposed filing of any pre-effective or post-effective amendment to the Registration Statement or any proposed amendment or supplement to the Prospectus; , and (iii) of the time and date that any post-effective amendment to the Registration Statement becomes effective; (c) timely file every amendment or supplement to the Registration Statement or the Prospectus that may be required by the SEC or under the Securities Act; and (d) if at any time the SEC shall issue any stop order or any other order preventing or suspending the effectiveness of the Registration Statement or the use of the ProspectusStatement, or shall institute any proceeding for that purpose, then, the Company it will promptly notify the Dealer Manager and, to the extent the board of directors of the Company, including a majority of the independent directors, Company determines that such action is in the best interest of the Company, (y) use its commercially reasonable efforts to prevent the issuance of any such order, and (z) if any such order is issued, to obtain the lifting or removal of such order as promptly as possibleat the earliest possible time. Prior In case the Dealer Manager is required to amending or supplementing the Registration Statement, any preliminary prospectus or the deliver a Prospectus (including any amendment or supplement through incorporation in connection with sales of any report filed under of the Exchange Act)Primary Shares at any time nine months or more after the Effective Date, upon the Dealer Manager’s request, the Company shall furnish will, at its expense, prepare and deliver to the Dealer Manager for its review, a reasonable period as many copies as the Dealer Manager may reasonably request of time prior to an amended or supplemented Prospectus complying with Section 10(a)(3) of the proposed time of filing or use thereof, a copy of each such proposed amendment or supplementSecurities Act.

Appears in 9 contracts

Samples: Dealer Manager Agreement (Jones Lang LaSalle Income Property Trust, Inc.), Dealer Manager Agreement (Clarion Partners Property Trust Inc.), Dealer Manager Agreement (Clarion Partners Property Trust Inc.)

Compliance with Securities Laws and Regulations. The Company will: (a) use commercially reasonable efforts to cause the Registration Statement and any subsequent amendments thereto to become effective as promptly as possible; (b) promptly furnish the Dealer Manager with a copy of (i) any comments or requests for additional or supplemental information from the SEC or any state securities administrator and (ii) any proposed post-effective amendment to the Registration Statement or any proposed amendment or supplement to the Prospectus; and (iii) the time and date that any post-effective amendment to the Registration Statement becomes effective; (c) timely file every amendment or supplement to the Registration Statement or the Prospectus that may be required by the SEC or under the Securities Act; and (d) if at any time the SEC shall issue any stop order or any other order preventing or suspending the effectiveness of the Registration Statement or the use of the Prospectus, or shall institute any proceeding for that purpose, then, the Company will promptly notify the Dealer Manager and, to the extent the board of directors of the Company, including a majority of the independent directors, determines that such action is in the best interest of the Company, (y) use its commercially reasonable efforts to prevent the issuance of any such order, and (z) if any such order is issued, to obtain the lifting or removal of such order as promptly as possible. Prior to amending or supplementing the Registration Statement, any preliminary prospectus or the Prospectus (including any amendment or supplement through incorporation of any report filed under the Exchange Act), the Company shall furnish to the Dealer Manager for its review, a reasonable period of time prior to the proposed propose time of filing or use thereof, a copy of each such proposed amendment or supplement.

Appears in 6 contracts

Samples: Dealer Manager Agreement (Sierra Income Corp), Dealer Manager Agreement (Sierra Income Corp), Dealer Manager Agreement (Sierra Income Corp)

Compliance with Securities Laws and Regulations. The Company will: (a) use commercially reasonable efforts to cause the Registration Statement and any subsequent amendments thereto to become effective as promptly as possible; (b) promptly furnish advise the Dealer Manager with a copy of (i) the receipt of any comments of, or requests for additional or supplemental information from from, the SEC or any state securities administrator and Commission, (ii) the time and date of any proposed filing of any post-effective amendment to the Registration Statement or any proposed amendment or supplement to the Prospectus; , and (iii) the time and date that any post-effective amendment to the Registration Statement becomes effective; (c) timely file every amendment or supplement to the Registration Statement or the Prospectus that may be required by the SEC Commission or under the Securities Act; and (d) if at any time the SEC Commission shall issue any stop order or any other order preventing or suspending the effectiveness of the Registration Statement or the use of the Prospectus, or shall institute any proceeding for that purpose, thenStatement, the Company will promptly notify the Dealer Manager and, to the extent the board of directors of the Company, including a majority of the independent directors, Company determines that such action is in the best interest of the Company, (y) use its commercially reasonable efforts to prevent the issuance of any such order, and (z) if any such order is issued, to obtain the lifting or removal of such order as promptly as possibleat the earliest possible time. Prior to amending or supplementing As of the date of this Agreement, the Commission has not issued any stop order suspending the effectiveness of the Registration Statement, any preliminary prospectus Statement and no proceedings for that purpose have been instituted or are pending before or threatened by the Prospectus (including any amendment or supplement through incorporation of any report filed Commission under the Exchange Securities Act), the Company shall furnish to the Dealer Manager for its review, a reasonable period of time prior to the proposed time of filing or use thereof, a copy of each such proposed amendment or supplement.

Appears in 4 contracts

Samples: Dealer Manager Agreement (NorthStar/RXR New York Metro Real Estate, Inc.), Dealer Manager Agreement (NorthStar/RXR New York Metro Income, Inc.), Dealer Manager Agreement (NorthStar/RXR New York Metro Income, Inc.)

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Compliance with Securities Laws and Regulations. The Company will: (a) use commercially reasonable efforts to cause the Registration Statement and any subsequent amendments thereto to become effective as promptly as possible; (b) promptly furnish advise the Dealer Manager with a copy of (i) of the receipt of any comments of, or requests for additional or supplemental information from from, the SEC or any state securities administrator and SEC, (ii) of the time and date of any proposed filing of any pre-effective or post-effective amendment to the Registration Statement or any proposed amendment or supplement to the Prospectus; , and (iii) of the time and date that any post-effective amendment to the Registration Statement becomes effective; (c) timely file every amendment or supplement to the Registration Statement or the Prospectus that may be required by the SEC or under the Securities Act; and (d) if at any time the SEC shall issue any stop order or any other order preventing or suspending the effectiveness of the Registration Statement or the use of the ProspectusStatement, or shall institute any proceeding for that purpose, then, the Company will promptly notify the Dealer Manager and, to the extent the board of directors of the Company, including a majority of the independent directors, Company determines that such action is in the best interest of the Company, (y) use its commercially reasonable efforts to prevent the issuance of any such order, and (z) if any such order is issued, to obtain the lifting or removal of such order as promptly as possibleat the earliest possible time. Prior In case the Dealer Manager is required to amending or supplementing the Registration Statement, any preliminary prospectus or the deliver a Prospectus (including any amendment or supplement through incorporation in connection with sales of any report filed under of the Exchange Act)Primary Shares at any time nine months or more after the Effective Date, upon the Dealer Manager’s request, the Company shall furnish will, at its expense, prepare and deliver to the Dealer Manager for its review, a reasonable period as many copies as the Dealer Manager may reasonably request of time prior to an amended or supplemented Prospectus complying with Section 10(a)(3) of the proposed time of filing or use thereof, a copy of each such proposed amendment or supplementSecurities Act.

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 Securities Laws and Regulations. The Company will: (a) use commercially reasonable efforts to cause the Registration Statement and any subsequent amendments thereto to become effective as promptly as possible; (b) promptly furnish advise the Dealer Manager with a copy of Distributor (i) of the receipt of any comments of, or requests for additional or supplemental information from from, the SEC or any state securities administrator and Commission, (ii) of the time and date of any proposed filing of any post-effective amendment to the Registration Statement or any proposed amendment or supplement to the Prospectus; , and (iii) of the time and date that any post-effective amendment to the Registration Statement becomes effective; (c) timely file every amendment or supplement to the Registration Statement or the Prospectus that may be required by the SEC Commission or under the Securities Act; and (d) if at any time the SEC Commission shall issue any stop order or any other order preventing or suspending the effectiveness of the Registration Statement or the use of the ProspectusStatement, or shall institute any proceeding for that purpose, then, the Company it will promptly notify the Dealer Manager Distributor and, to the extent the board of directors of the Company, including a majority of the independent directors, Company determines that such action is in the best interest of the Company, (y) use its commercially reasonable efforts to prevent the issuance of any such order, and (z) if any such order is issued, to obtain the lifting or removal of such order as promptly as possibleat the earliest possible time. Prior In case the Distributor is required to amending or supplementing the Registration Statement, any preliminary prospectus or the deliver a Prospectus (including any amendment or supplement through incorporation in connection with sales of any report filed under of the Exchange Act)Primary Shares at any time nine months or more after the Effective Date, upon the Distributor’s request, the Company shall furnish will, at its expense, prepare and deliver to the Dealer Manager for its review, a reasonable period Distributor as many copies as the Distributor may reasonably request of time prior to an amended or supplemented Prospectus complying with Section 10(a)(3) of the proposed time of filing or use thereof, a copy of each such proposed amendment or supplementSecurities Act.

Appears in 2 contracts

Samples: Distribution Agreement (NorthEnd Income Property Trust Inc.), Distribution Agreement (NorthEnd Income Property Trust Inc.)

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