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 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 Selling Group Member copies of Company Investor letters, annual reports and other communications provided to the Company Investors. The 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 Selling Group Member and/or their agents or customers may be provided electronically, as a preference but not as a requirement. With respect to Bonds held through custodial accounts, the 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 interest holders may be provided solely to the custodian that is the registered owner of the Bonds, rather than to the beneficial owners of the Bonds. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of Bonds. The 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 purchases, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the Selling Group Member agrees to cooperate with the processing of purchases through such an electronic platform if reasonably practical.
Appears in 9 contracts
Samples: Broker Dealer/Underwriter Agreement (Red Oak Capital Intermediate Income Fund, LLC), MBD Agreement (Red Oak Capital Fund V, LLC), Soliciting Dealer Agreement (Red Oak Capital Fund II, 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 Bonds 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 Selling Group Member copies of Company Investor investor letters, annual reports and other communications provided to the Company Investorsinvestors. The 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 Selling Group Member and/or their agents or customers may be provided electronically, as a preference but not as a requirement. With respect to Bonds Shares held through custodial accounts, the 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 interest holders investors may be provided solely to the custodian that is the registered owner of the BondsShares, rather than to the beneficial owners of the BondsShares. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of BondsShares. The 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 purchasessubscriptions, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the Selling Group Member agrees to cooperate with the processing of purchases 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 Agreement, the The Company has agreed to confirm all orders for the purchase of Bonds 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 Selling Group Member Dealer copies of Company Investor investor letters, annual reports and other communications provided to the Company Investorsinvestors. The Selling Group Member 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 Selling Group Member Dealer and/or their agents or customers may be provided electronically, as a preference but not as a requirement. With respect to Bonds Shares held through custodial accounts, the Selling Group Member 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 interest holders Investors may be provided solely to the custodian that is the registered owner of the BondsShares, rather than to the beneficial owners of the BondsShares. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of BondsShares. The Selling Group Member Dealer agrees and acknowledges that the Managing Broker-Dealer may, as a preference but not as a requirement, use an electronic platform to process purchasessubscriptions, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the Selling Group Member Dealer agrees to cooperate with the processing of purchases subscriptions through such an electronic platform if reasonably practical.
Appears in 5 contracts
Samples: Lock Up Agreement (True Leaf Medicine International Ltd.), Underwriting Agreement (True Leaf Medicine International Ltd.), Allied Corp.
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 Bonds 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 Selling Group Member copies of Company Investor investor letters, annual reports and other communications provided to the Company Investorsinvestors. The 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 Selling Group Member and/or their agents or customers may be provided electronically, as a preference but not as a requirement. With respect to Bonds Shares held through custodial accounts, the 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 interest holders investors may be provided solely to the custodian that is the registered owner of the BondsShares, rather than to the beneficial owners of the BondsShares. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of BondsShares. The 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 purchasessubscriptions, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the Selling Group Member agrees to cooperate with the processing of purchases subscriptions through such an electronic platform if reasonably practical.
Appears in 3 contracts
Samples: Dealer Manager Agreement (Cottonwood Communities, Inc.), Form of Dealer Manager Agreement (Cottonwood Communities, Inc.), Form of Dealer Manager Agreement (Cottonwood 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 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 Selling Group Member copies of Company Investor letters, annual reports and other communications provided to the Company Investors. The 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 Selling Group Member and/or their agents or customers may be provided electronically, as a preference but not as a requirement. With respect to Bonds Xxxxx held through custodial accounts, the 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 interest holders may be provided solely to the custodian that is the registered owner of the Bonds, rather than to the beneficial owners of the Bonds. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of Bonds. The 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 purchases, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the Selling Group Member agrees to cooperate with the processing of purchases through such an electronic platform if reasonably practical.
Appears in 1 contract
Samples: 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 Bonds 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 Selling Group Member copies of Company Investor letters, annual reports and other communications provided to the Company Investors. The 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 Selling Group Member and/or their agents or customers may be provided electronically, as a preference but not as a requirement. With respect to Bonds Series A Units held through custodial accounts, the 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 interest holders may be provided solely to the custodian that is the registered owner of the BondsSeries A Units, rather than to the beneficial owners of the BondsSeries A Units. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of BondsSeries A Units. The 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 purchases, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the Selling Group Member agrees to cooperate with the processing of purchases through such an electronic platform if reasonably practical.
Appears in 1 contract
Samples: 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 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 Selling Group Member copies of Company Investor letters, annual reports and other communications provided to the Company Investors. The 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 Selling Group Member and/or their agents or customers may be provided electronically, as a preference but not as a requirement. With respect to Bonds Xxxxx held through custodial accounts, the 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 interest holders may be provided solely to the custodian that is the registered owner of the Bonds, rather than to the beneficial owners of the Bonds. In such case it shall be the responsibility of the custodian to distribute the information to the beneficial owners of Bonds. The 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 purchases, including but not limited to the Depository Trust Company (DTC) model. If an electronic platform is used, the Selling Group Member agrees to cooperate with the processing of purchases through such an electronic platform if reasonably practical.
Appears in 1 contract
Samples: Red Oak Capital Fund VII, LLC