Dealer Affiliation Sample Clauses

Dealer Affiliation. (a) It is expressly understood between Adviser and the Company that the Company has entered into a follow-on dealer manager agreement with FSIC III Advisor, LLC and the Dealer Manager, dated May 31, 2017, that incorporates by reference the provisions of the dealer manager agreement dated December 20, 2013 (collectively, the “Dealer Manager Agreement”), which Dealer Manager Agreement contains the terms pursuant to which the Dealer Manager will offer the Shares for sale to the public. Shares offered and sold pursuant to this Agreement will be offered and sold through the Dealer Manager, a registered broker-dealer that is a member of FINRA. Adviser acknowledges and represents that this Agreement applies only to transactions effected by those investment adviser representatives who are not registered with a broker-dealer.
Sample 1Sample 2
AutoNDA by SimpleDocs
Dealer Affiliation. (a) It is expressly understood between Adviser and the Company that the Company has entered into a second amended and restated dealer manager agreement with the Dealer Manager dated [ ] [ ], 2018 (as amended from time to time, the “Dealer Manager Agreement”), which Dealer Manager Agreement contains the terms pursuant to which the Dealer Manager will offer the Shares for sale to the public. Class I Shares offered and sold pursuant to the Agreement will be offered and sold through the Dealer Manager, a registered broker-dealer that is a member of FINRA. Adviser acknowledges that the Dealer Manager will receive compensation in connection with the sale of the Class I Shares, and in particular that the Dealer Manager may, under certain circumstances, receive compensation in connection with the sale of Class I Shares in an amount of up to 1.0% of the total amount of Class I Shares purchased in the Primary Offering in connection with the sale of the Shares to Adviser’s clients, such Class I Share dealer manager fee to be paid by Xxxxx National Advisor II, LLC, the Company’s advisor.
Sample 1
Dealer Affiliation. (a) It is expressly understood between Adviser and the Company that the Company has entered into a dealer manager agreement with the Dealer Manager, dated as of [●], 2016 (the “Dealer Manager Agreement”), which contains the terms pursuant to which the Dealer Manager will offer the Shares for sale to the public. Shares offered and sold pursuant to this Agreement will be offered and sold through the Dealer Manager, a registered broker-dealer that is a member of FINRA; provided, however, that Adviser acknowledges and represents that this obligation of the Dealer Manager applies only to transactions mutually agreed to between the Dealer Manager and Adviser and effected by those investment adviser representatives of Adviser who are not registered with a broker-dealer under the Exchange Act.
Sample 1
Dealer Affiliation. (a) It is expressly understood between Adviser and the Company that the Company has entered into a dealer manager agreement with FS Global Advisor, LLC and the Dealer Manager, dated as of July 15, 2013 (the “Dealer Manager Agreement”), which Dealer Manager Agreement contains the terms pursuant to which the Dealer Manager will offer the Shares for sale to the public. Shares offered and sold pursuant to this Agreement will be offered and sold through the Dealer Manager, a registered broker-dealer that is a member of FINRA. Adviser acknowledges that the Dealer Manager will receive a dealer manager fee set forth on Exhibit A hereto in connection with the sale of the Shares to Adviser’s clients, such dealer manager fee to be paid by the Company from the gross offering proceeds received by it on account of the sale of Shares. Adviser further acknowledges and represents that this Agreement applies only to transactions effected by those investment adviser representatives who are not registered with a broker-dealer.
Sample 1

Related to Dealer Affiliation

  • Broker/Dealer Relationships Neither the Company nor any of the Subsidiaries (i) is required to register as a “broker” or “dealer” in accordance with the provisions of the Exchange Act or (ii) directly or indirectly through one or more intermediaries, controls or is a “person associated with a member” or “associated person of a member” (within the meaning set forth in the FINRA Manual).

  • Dealer Agreement The sales and/or servicing agreements between CAC or its subsidiaries and a participating Dealer which sets forth the terms and conditions under which CAC or its subsidiaries (i) accepts, as nominee for such Dealer, the assignment of Contracts for purposes of administration, servicing and collection and under which CAC or its subsidiary may make advances to such Dealers and (ii) accepts outright assignments of Contracts from Dealers or funds Contracts originated by such Dealer in the name of CAC or any of its subsidiaries, in each case as such agreements may be in effect from time to time.

  • Dealer Agreements Each Dealer from whom the Seller purchases Receivables has entered into a Dealer Agreement with the Seller providing for the sale of Receivables from time to time by such Dealer to the Seller.

  • FINRA Affiliation There is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

  • Dealer The seller of automobiles or light trucks that originated one or more of the Receivables and assigned the respective Receivable, directly or indirectly, to Ally Bank under an existing agreement between such seller and Ally Bank. Dealer Agreement: An existing agreement between Ally Bank or one of its Affiliates and a Dealer with respect to a Receivable. Default: Any occurrence that is, or with notice or the lapse of time or both would become, an Event of Default.

  • Affiliation Contractor understands and agrees that it is not an "officer," "employee," or "agent" of the State of Oregon, as those terms are used in ORS 30.265 or otherwise.

  • Affiliations 9.1 MSDW TRUST may now or hereafter, without the consent of or notice to the Fund, function as transfer agent and/or shareholder servicing agent for any other investment company registered with the SEC under the 1940 Act and for any other issuer, including without limitation any investment company whose adviser, administrator, sponsor or principal underwriter is or may become affiliated with Xxxxxx Xxxxxxx Xxxx Xxxxxx & Co. or any of its direct or indirect subsidiaries or affiliates.

Time is Money Join Law Insider Premium to draft better contracts faster.