Dealer Manager’s Authority to Issue Confirmation. Notwithstanding the foregoing, it is understood and agreed that no commission shall be payable with respect to particular Shares if the Dealer Manager or the Company rejects a proposed subscriber’s Subscription Agreement. Accordingly, Selected Broker-Dealer shall have no authority to issue a confirmation (pursuant to Exchange Act Rule 10b-10) to any subscriber; such authority residing solely in the Dealer Manager, as the Dealer Manager and processing broker-dealer.
Appears in 8 contracts
Samples: Dealer Manager Agreement (Terra Income Fund 6, Inc.), Dealer Agreement (Terra Income Fund 6, Inc.), Dealer Manager Agreement (Terra Income Fund 6, Inc.)
Dealer Manager’s Authority to Issue Confirmation. Notwithstanding the foregoing, it is understood and agreed that no commission shall be payable with respect to particular Shares if the Dealer Manager or the Company rejects a proposed subscriber’s Subscription Agreement. Accordingly, Selected Broker-Dealer shall have no authority to issue a confirmation (pursuant to Exchange Act Rule 10b-10) to any subscriber; such authority residing solely in the Dealer Manager, as the Dealer Manager and processing broker-dealer.
Appears in 6 contracts
Samples: Selected Dealer Agreement (Carey Watermark Investors Inc), Selected Dealer Agreement (Corporate Property Associates 18 Global Inc), Selected Dealer Agreement (Corporate Property Associates 18 Global Inc)
Dealer Manager’s Authority to Issue Confirmation. Notwithstanding the foregoing, it is understood and agreed that no commission shall be payable with respect to particular Shares Units if the Dealer Manager or the Company rejects a proposed subscriber’s Subscription Agreement. Accordingly, Selected Broker-Soliciting Dealer shall have no authority to issue a confirmation (pursuant to Exchange Act Rule 10b-10) to any subscriber; such authority residing solely in the Dealer Manager, as the Dealer Manager and processing broker-dealer.
Appears in 5 contracts
Samples: Soliciting Dealer Agreement (GWG Holdings, Inc.), Soliciting Dealer Agreement (GWG Life, LLC), Soliciting Dealer Agreement (Preferred Apartment Communities Inc)
Dealer Manager’s Authority to Issue Confirmation. Notwithstanding the foregoing, it is understood and agreed that no commission shall be payable with respect to particular Shares if the Dealer Manager or the Company Feeder Fund rejects a proposed subscriber’s Subscription Agreement. Accordingly, Selected Broker-Dealer shall have no authority to issue a confirmation (pursuant to Exchange Act Rule 10b-10) to any subscriber; such authority residing resides solely in the Dealer Manager, as the Dealer Manager and processing broker-dealer.
Appears in 5 contracts
Samples: Selected Dealer Agreement (Guggenheim Credit Income Fund 2021), The Selected Dealer Agreement (Carey Credit Income Fund 2017 T), Dealer Agreement (Carey Credit Income Fund 2016 T)
Dealer Manager’s Authority to Issue Confirmation. Notwithstanding the foregoing, it is understood and agreed that no commission shall be payable with respect to particular Shares if the Dealer Manager or the Company rejects a proposed subscriber’s Subscription Agreement. Accordingly, Selected Participating Broker-Dealer shall have no authority to issue a confirmation (pursuant to Exchange Act Rule 10b-10) to any subscriber; such authority residing solely in the Dealer Manager, as the Dealer Manager and processing broker-dealer.
Appears in 3 contracts
Samples: Braemar Hotels & Resorts Inc., Dealer Agreement (Terra Fixed Income Trust, Inc.), Dealer Agreement (Terra Secured Income Trust, Inc.)
Dealer Manager’s Authority to Issue Confirmation. Notwithstanding the foregoing, it is understood and agreed that no commission shall be payable with respect to particular Shares if the Dealer Manager or the Company Feeder Fund rejects a proposed subscriber’s Subscription Agreement. Accordingly, Selected Broker-Dealer shall have no authority to issue a confirmation (pursuant to Exchange Guggenheim Funds Distributors, LLC Selected Dealer Agreement 6 Act Rule 10b-10) to any subscriber; such authority residing resides solely in the Dealer Manager, as the Dealer Manager and processing broker-dealer.
Appears in 2 contracts
Samples: Selected Dealer Agreement (Guggenheim Credit Income Fund 2019), www.sec.gov
Dealer Manager’s Authority to Issue Confirmation. Notwithstanding the foregoing, it is understood and agreed that no commission shall be payable with respect to particular Shares if the Dealer Manager or the Company rejects a proposed subscriber’s Subscription AgreementOrder Form. Accordingly, Selected Broker-Dealer shall have no authority to issue a confirmation (pursuant to Exchange Act Rule 10b-10) to any subscriber; such authority residing solely in the Dealer Manager, as the Dealer Manager and processing broker-dealer.
Appears in 2 contracts
Samples: Selected Dealer Agreement (Carey Watermark Investors 2 Inc), Selected Dealer Agreement (Carey Watermark Investors 2 Inc)
Dealer Manager’s Authority to Issue Confirmation. Notwithstanding the foregoing, it is understood and agreed that no commission whatsoever shall be payable with respect to particular Shares if the Dealer Manager or the Company Feeder Fund rejects a proposed subscriber’s Subscription Agreementorder. Accordingly, Selected Broker-Dealer shall have no authority to issue a confirmation (pursuant to Exchange Act Rule 10b-10) to any subscriber; such authority residing resides solely in the Dealer Manager, as the Dealer Manager and processing broker-dealer.
Appears in 2 contracts
Samples: Selected Dealer Agreement (Carey Credit Income Fund 2016 T), Dealer Manager Agreement (Carey Credit Income Fund 2016 T)
Dealer Manager’s Authority to Issue Confirmation. Notwithstanding the foregoing, it is understood and agreed that no commission shall be payable with respect to particular Shares shares of Series A1 Redeemable Preferred Stock if the Dealer Manager or the Company rejects a proposed subscriber’s Subscription Agreement. Accordingly, Selected Broker-Soliciting Dealer shall have no authority to issue a confirmation (pursuant to Exchange Act Rule 10b-10) to any subscriber; such authority residing solely in the Dealer Manager, as the Dealer Manager and processing broker-dealer.
Appears in 1 contract
Samples: Soliciting Dealer Agreement (Preferred Apartment Communities Inc)
