FINRA Rules. Notwithstanding the foregoing or anything contained herein to the contrary, in no event shall the Company pay or give or cause to be paid or given any compensation or incentives in excess of amounts permitted under applicable FINRA rules or published guidance.
Appears in 34 contracts
Samples: Managing Dealer Agreement (CNL Strategic Capital, LLC), Managing Dealer Agreement (CNL Strategic Capital, LLC), Managing Dealer Agreement (Corporate Capital Trust II)
