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. The Managing Dealer agrees that all payments to a Participating Broker-Dealer (or a designated Approved Finder/Consultant) shall be made in compliance with applicable law.
Appears in 4 contracts
Samples: Managing Dealer Agreement (CNL Strategic Capital, LLC), Managing Dealer Agreement (CNL Strategic Capital, LLC), Managing Dealer Agreement (CNL Strategic Capital, LLC)
