Electronic Delivery of Information; Electronic Processing of Subscriptions. Pursuant to the MBD Agreement, the Company has agreed to confirm all orders for the purchase of Shares accepted by the Company. In addition, the Company, the Managing Broker-Dealer and/or third parties engaged by the Company or the Managing Broker-Dealer may, from time to time, provide to the Dealer copies of investor letters, annual reports and other communications provided to the Company investors. The Dealer agrees that, to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided to or from the Company, the Managing Broker-Dealer, the Dealer and/or their agents or customers may be provided electronically, as a preference but not as a requirement. With respect to Shares held through custodial accounts, the Dealer agrees and acknowledges that to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided from the Company, the Managing Broker-Dealer and/or their agents to Company investors may be provided solely to the custodian that is the registered owner of the Shares, rather than to the beneficial owners of the Shares. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of Shares. The Dealer agrees and acknowledges that the Managing Broker-Dealer may, as a preference but not as a requirement, use an electronic platform to process subscriptions, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the Dealer agrees to cooperate with the processing of subscriptions through such an electronic platform if reasonably practical.
Appears in 9 contracts
Samples: Managing Broker Dealer Agreement (Tuscan Gardens Senior Living Communities, Inc.), Managing Broker Dealer Agreement (Tuscan Gardens Senior Living Communities, Inc.), Managing Broker Dealer Agreement (Tuscan Gardens Senior Living Communities, Inc.)
Electronic Delivery of Information; Electronic Processing of Subscriptions. Pursuant to the MBD Agreement, the Company has agreed to confirm all orders for the purchase of Shares Bonds accepted by the Company. In addition, the Company, the Managing Broker-Dealer and/or third parties engaged by the Company or the Managing Broker-Dealer may, from time to time, provide to the Dealer Selling Group Member copies of investor Company Investor letters, annual reports and other communications provided to the Company investorsInvestors. The Dealer Selling Group Member agrees that, to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided to or from the Company, the Managing Broker-Dealer, the Dealer Selling Group Member and/or their agents or customers may be provided electronically, as a preference but not as a requirement. With respect to Shares Bonds held through custodial accounts, the Dealer Selling Group Member agrees and acknowledges that to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided from the Company, the Managing Broker-Dealer and/or their agents to Company investors interest holders may be provided solely to the custodian that is the registered owner of the SharesBonds, rather than to the beneficial owners of the SharesBonds. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of SharesBonds. The Dealer Selling Group Member agrees and acknowledges that the Managing Broker-Dealer may, as a preference but not as a requirement, use an electronic platform to process subscriptionspurchases, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the Dealer Selling Group Member agrees to cooperate with the processing of subscriptions purchases through such an electronic platform if reasonably practical.
Appears in 9 contracts
Samples: Managing Broker Dealer/Underwriter Agreement (Red Oak Capital Intermediate Income Fund, LLC), Managing Broker Dealer/Underwriter Agreement (Red Oak Capital Fund V, LLC), Managing Broker Dealer/Underwriter Agreement (Red Oak Capital Intermediate Income Fund, LLC)
Electronic Delivery of Information; Electronic Processing of Subscriptions. Pursuant to the MBD Agreement, the Company has agreed to confirm all orders for the purchase of Shares accepted by the Company. In addition, the Company, the Managing Broker-Dealer and/or third parties engaged by the Company or the Managing Broker-Dealer may, from time to time, provide to the Dealer Selling Group Member copies of investor letters, annual reports and other communications provided to the Company investors. The Dealer Selling Group Member agrees that, to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided to or from the Company, the Managing Broker-Dealer, the Dealer Selling Group Member and/or their agents or customers may be provided electronically, as a preference but not as a requirement. With respect to Shares held through custodial accounts, the Dealer Selling Group Member agrees and acknowledges that to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided from the Company, the Managing Broker-Dealer and/or their agents to Company investors may be provided solely to the custodian that is the registered owner of the Shares, rather than to the beneficial owners of the Shares. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of Shares. The Dealer Selling Group Member agrees and acknowledges that the Managing Broker-Dealer may, as a preference but not as a requirement, use an electronic platform to process subscriptions, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the Dealer Selling Group Member agrees to cooperate with the processing of subscriptions through such an electronic platform if reasonably practical.
Appears in 7 contracts
Samples: Soliciting Dealer Agreement (Cottonwood Multifamily Opportunity Fund, Inc.), Soliciting Dealer Agreement (Cottonwood Multifamily Development REIT I, Inc.), Soliciting Dealer Agreement (Cottonwood Multifamily Reit Ii, Inc.)
Electronic Delivery of Information; Electronic Processing of Subscriptions. Pursuant to the MBD Dealer Manager Agreement, the Company has agreed and assumed the duty to confirm on its behalf and on behalf of dealers or brokers who sell the Shares all orders for the purchase of Shares accepted by the Company. In addition, the Company, the Managing Broker-Dealer Manager and/or third parties engaged by the Company or the Managing Broker-Dealer Manager may, from time to time, provide to the Dealer copies of investor stockholder letters, annual reports and other communications provided to the Company investorsstockholders. The Dealer agrees that, to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided to or from the Company, the Managing Broker-DealerDealer Manager, the Dealer and/or their agents or customers may shall be provided electronically. To the extent that the Dealer desires physical copies of such materials to be provided, as a preference but not as a requirementit may request physical copies to be provided from the Company, the Dealer Manager and/or such third parties; provided, however, that the Company, the Dealer Manager and such third parties shall determine the processes and service providers needed to produce such copies and the Dealer shall be required to pay the resulting costs and expenses of the production of such copies. Such costs and expenses may be deducted from selling commissions, reallowances or other payments to the Dealer pursuant to this Agreement. With respect to Shares held through custodial accounts, the Dealer agrees and acknowledges that to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided from the Company, the Managing Broker-Dealer Manager and/or their agents to Company investors stockholders may be provided solely to the custodian that is the registered owner of the Shares, rather than to the beneficial owners of the Shares. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of Shares. The Dealer agrees and acknowledges that the Managing Broker-Dealer may, as a preference but not as a requirement, Manager may use an electronic platform to process subscriptions, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the The Dealer agrees to cooperate with the processing of subscriptions through such an electronic platform if reasonably practicalplatform.
Appears in 6 contracts
Samples: Dealer Manager Agreement (Priority Income Fund, Inc.), Dealer Manager Agreement (Pathway Energy Infrastructure Fund, Inc.), Dealer Manager Agreement (Pathway Energy Infrastructure Fund, Inc.)
Electronic Delivery of Information; Electronic Processing of Subscriptions. Pursuant to the MBD Agreement, the The Company has agreed to confirm all orders for the purchase of Shares accepted by the Company. In addition, the Company, the Managing Broker-Dealer and/or third parties engaged by the Company or the Managing Broker-Dealer may, from time to time, provide to the Dealer copies of investor letters, annual reports and other communications provided to the Company investors. The Dealer agrees that, to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided to or from the Company, the Managing Broker-Dealer, the Dealer and/or their agents or customers may be provided electronically, as a preference but not as a requirement. With respect to Shares held through custodial accounts, the Dealer agrees and acknowledges that to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided from the Company, the Managing Broker-Dealer and/or their agents to Company investors Investors may be provided solely to the custodian that is the registered owner of the Shares, rather than to the beneficial owners of the Shares. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of Shares. The Dealer agrees and acknowledges that the Managing Broker-Dealer may, as a preference but not as a requirement, use an electronic platform to process subscriptions, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the Dealer agrees to cooperate with the processing of subscriptions through such an electronic platform if reasonably practical.
Appears in 5 contracts
Samples: Participating Dealer Agreement (Allied Corp.), Participating Dealer Agreement (True Leaf Medicine International Ltd.), Participating Dealer Agreement (True Leaf Medicine International Ltd.)
Electronic Delivery of Information; Electronic Processing of Subscriptions. 2.20.1 Pursuant to the MBD Managing Broker Dealer Agreement, the Company Issuer has agreed to confirm all orders for the purchase of Shares Securities accepted by the CompanyIssuer. In addition, the CompanyIssuer, the Managing Broker-Broker Dealer and/or third parties engaged by the Company Issuer or the Managing Broker-Broker Dealer may, from time to time, provide to the Dealer Selling Group Member copies of investor letters, annual reports and other communications provided to the Company Issuer investors. The Dealer Selling Group Member agrees that, to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided to or from the CompanyIssuer, the Managing Broker-Broker Dealer, the Dealer Selling Group Member and/or their agents or customers may be provided electronically, as a preference but not as a requirement. .
2.20.2 With respect to Shares Securities held through custodial accounts, the Dealer Selling Group Member agrees and acknowledges that to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided from the CompanyIssuer, the Managing Broker-Broker Dealer and/or their agents to Company Issuer investors may be provided solely to the custodian that is the registered owner of the SharesSecurities, rather than to the beneficial owners of the SharesSecurities. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of Shares. Securities.
2.20.3 The Dealer Selling Group Member agrees and acknowledges that the Managing Broker-Broker Dealer may, as a preference but not as a requirement, use an electronic platform to process subscriptions, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the Dealer Selling Group Member agrees to cooperate with the processing of subscriptions through such an electronic platform if reasonably practical.
Appears in 5 contracts
Samples: Managing Broker Dealer Agreement (Manufactured Housing Properties Inc.), Managing Broker Dealer Agreement (Manufactured Housing Properties Inc.), Managing Broker Dealer Agreement (Manufactured Housing Properties Inc.)
Electronic Delivery of Information; Electronic Processing of Subscriptions. Pursuant to the MBD Dealer Manager Agreement, the Company has agreed to confirm all orders for the purchase of Shares accepted by the Company. In addition, the Company, the Managing Broker-Dealer Manager and/or third parties engaged by the Company or the Managing Broker-Dealer Manager may, from time to time, provide to the Dealer Selling Group Member copies of investor letters, annual reports and other communications provided to the Company investors. The Dealer Selling Group Member agrees that, to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided to or from the Company, the Managing Broker-DealerDealer Manager, the Dealer Selling Group Member and/or their agents or customers may be provided electronically, as a preference but not as a requirement. With respect to Shares held through custodial accounts, the Dealer Selling Group Member agrees and acknowledges that to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided from the Company, the Managing Broker-Dealer Manager and/or their agents to Company investors may be provided solely to the custodian that is the registered owner of the Shares, rather than to the beneficial owners of the Shares. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of Shares. The Dealer Selling Group Member agrees and acknowledges that the Managing Broker-Dealer Manager may, as a preference but not as a requirement, use an electronic platform to process subscriptions, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the Dealer Selling Group Member agrees to cooperate with the processing of subscriptions through such an electronic platform if reasonably practical.
Appears in 3 contracts
Samples: Dealer Manager Agreement (Cottonwood Communities, Inc.), Dealer Manager Agreement (Cottonwood Communities, Inc.), Dealer Manager Agreement (Cottonwood Communities, Inc.)
Electronic Delivery of Information; Electronic Processing of Subscriptions. Pursuant to the MBD Managing Broker Dealer Agreement, the Company has agreed to confirm all orders for the purchase of Shares Securities accepted by the Company. In addition, the Company, the Managing Broker-Broker Dealer and/or third parties engaged by the Company or the Managing Broker-Broker Dealer may, from time to time, provide to the Dealer copies of investor letters, annual reports and other communications provided to the Company investors. The Dealer agrees that, to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided to or from the Company, the Managing Broker-Broker Dealer, the Dealer and/or their agents or customers may be provided electronically, as a preference but not as a requirement. With respect to Shares Securities held through custodial accounts, the Dealer agrees and acknowledges that to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided from the Company, the Managing Broker-Broker Dealer and/or their agents to Company investors may be provided solely to the custodian that is the registered owner of the SharesSecurities, rather than to the beneficial owners of the SharesSecurities. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of SharesSecurities. The Dealer agrees and acknowledges that the Managing Broker-Broker Dealer may, as a preference but not as a requirement, use an electronic platform to process subscriptions, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the Dealer agrees to cooperate with the processing of subscriptions through such an electronic platform if reasonably practical.
Appears in 2 contracts
Samples: Managing Broker Dealer Agreement (MCI Income Fund VII, LLC), Soliciting Dealer Agreement (MCI Income Fund V, LLC)
Electronic Delivery of Information; Electronic Processing of Subscriptions. Pursuant to the MBD Agreement, the Company has agreed to confirm all orders for the purchase of Shares Series A Units accepted by the Company. In addition, the Company, the Managing Broker-Dealer and/or third parties engaged by the Company or the Managing Broker-Dealer may, from time to time, provide to the Dealer Selling Group Member copies of investor Company Investor letters, annual reports and other communications provided to the Company investorsInvestors. The Dealer Selling Group Member agrees that, to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided to or from the Company, the Managing Broker-Dealer, the Dealer Selling Group Member and/or their agents or customers may be provided electronically, as a preference but not as a requirement. With respect to Shares Series A Units held through custodial accounts, the Dealer Selling Group Member agrees and acknowledges that to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided from the Company, the Managing Broker-Dealer and/or their agents to Company investors interest holders may be provided solely to the custodian that is the registered owner of the SharesSeries A Units, rather than to the beneficial owners of the SharesSeries A Units. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of SharesSeries A Units. The Dealer Selling Group Member agrees and acknowledges that the Managing Broker-Dealer may, as a preference but not as a requirement, use an electronic platform to process subscriptionspurchases, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the Dealer Selling Group Member agrees to cooperate with the processing of subscriptions purchases through such an electronic platform if reasonably practical.
Appears in 1 contract
Samples: Managing Broker Dealer/Underwriter Agreement (Red Oak Capital Fund VI, LLC)
Electronic Delivery of Information; Electronic Processing of Subscriptions. Pursuant to the MBD Agreement, the Company has agreed to confirm all orders for the purchase of Shares accepted by the Company. In addition, the Company, the Managing Broker-Broker- Dealer and/or third parties engaged by the Company or the Managing Broker-Dealer may, from time to time, provide to the Dealer copies of investor letters, annual reports and other communications provided to the Company investors. The Dealer agrees that, to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided to or from the Company, the Managing Broker-Dealer, the Dealer and/or their agents or customers may be provided electronically, as a preference but not as a requirement. With respect to Shares held through custodial accounts, the Dealer agrees and acknowledges that to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided from the Company, the Managing Broker-Dealer and/or their agents to Company investors may be provided solely to the custodian that is the registered owner of the Shares, rather than to the beneficial owners of the Shares. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of Shares. The Dealer agrees and acknowledges that the Managing Broker-Dealer may, as a preference but not as a requirement, use an electronic platform to process subscriptions, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the Dealer agrees to cooperate with the processing of subscriptions through such an electronic platform if reasonably practical.
Appears in 1 contract
Electronic Delivery of Information; Electronic Processing of Subscriptions. Pursuant to the MBD Agreement, the Company has agreed to confirm all orders for the purchase of Shares Bonds accepted by the Company. In addition, the Company, the Managing Broker-Broker- Dealer and/or third parties engaged by the Company or the Managing Broker-Dealer may, from time to time, provide to the Dealer Selling Group Member copies of investor Company Investor letters, annual reports and other communications provided to the Company investorsInvestors. The Dealer Selling Group Member agrees that, to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided to or from the Company, the Managing Broker-Dealer, the Dealer Selling Group Member and/or their agents or customers may be provided electronically, as a preference but not as a requirement. With respect to Shares Xxxxx held through custodial accounts, the Dealer Selling Group Member agrees and acknowledges that to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided from the Company, the Managing Broker-Dealer and/or their agents to Company investors interest holders may be provided solely to the custodian that is the registered owner of the SharesBonds, rather than to the beneficial owners of the SharesBonds. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of SharesBonds. The Dealer Selling Group Member agrees and acknowledges that the Managing Broker-Dealer may, as a preference but not as a requirement, use an electronic platform to process subscriptionspurchases, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the Dealer Selling Group Member agrees to cooperate with the processing of subscriptions purchases through such an electronic platform if reasonably practical.
Appears in 1 contract
Samples: Managing Broker Dealer/Underwriter Agreement (Red Oak Capital Fund VII, LLC)
Electronic Delivery of Information; Electronic Processing of Subscriptions. Pursuant to the MBD Agreement, the Company has agreed to confirm all orders for the purchase of Shares Bonds accepted by the Company. In addition, the Company, the Managing Broker-Dealer and/or third parties engaged by the Company or the Managing Broker-Dealer may, from time to time, provide to the Dealer Selling Group Member copies of investor Company Investor letters, annual reports and other communications provided to the Company investorsInvestors. The Dealer Selling Group Member agrees that, to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided to or from the Company, the Managing Broker-Dealer, the Dealer Selling Group Member and/or their agents or customers may be provided electronically, as a preference but not as a requirement. With respect to Shares Xxxxx held through custodial accounts, the Dealer Selling Group Member agrees and acknowledges that to the extent practicable and permitted by law, all confirmations, statements, communications and other information provided from the Company, the Managing Broker-Dealer and/or their agents to Company investors interest holders may be provided solely to the custodian that is the registered owner of the SharesBonds, rather than to the beneficial owners of the SharesBonds. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of SharesBonds. The Dealer Selling Group Member agrees and acknowledges that the Managing Broker-Dealer may, as a preference but not as a requirement, use an electronic platform to process subscriptionspurchases, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the Dealer Selling Group Member agrees to cooperate with the processing of subscriptions purchases through such an electronic platform if reasonably practical.
Appears in 1 contract
Samples: Managing Broker Dealer/Underwriter Agreement (Red Oak Capital Fund VI, LLC)