Grant of Authority to the Dealer Manager. (a) Based on the representations and warranties contained in this Agreement, and subject to the terms and conditions set forth in this Agreement, the Managing General Partner appoints you as the Dealer-Manager for the Partnerships and gives you the exclusive right to solicit subscriptions for the Units on a “best efforts” basis in all states during the offering period for each Partnership as described in the Prospectus.
(b) You agree to use your best efforts to effect sales of the Units and to form and manage a selling group composed of soliciting broker/dealers, which are referred to as the “Selling Agents,” each of which shall be a member of the National Association of Securities Dealers, Inc., which is referred to as the “NASD,” and shall enter into a “Selling Agent Agreement” in substantially the form attached to this Agreement as Exhibit “B.”
(c) The Managing General Partner shall have three business days after the receipt of an executed Selling Agent Agreement to refuse that Selling Agent’s participation.
Grant of Authority to the Dealer Manager. (a) Based on the representations and warranties contained in this Agreement, and subject to the terms and conditions set forth in this Agreement, the Company appoints you as the Dealer Manager and principal distributor for the Company during the Offering Period (as defined in Section 3(b)) to find, on a “best efforts” basis, purchasers for the Shares for cash through the distribution channels contemplated herein and in the Prospectus, including the sale of Shares for cash directly to clients and customers identified by the Company on the terms and conditions stated herein and in the Prospectus.
Grant of Authority to the Dealer Manager. On the basis of the representations and warranties herein contained, and subject to the terms and conditions herein set forth, the Managing General Partner hereby appoints you as the Dealer-Manager for the Partnership and gives you the exclusive right to solicit subscriptions for the Units in the states of Minnesota and New Hampshire only, on a "best efforts" basis, subject to the terms and conditions set forth herein. In the states of Minnesota and New Hampshire only you agree to use your best efforts to effect such sales and to form and manage a selling group composed of soliciting broker-dealers ("Selling Agents"), each of which shall be a member of the National Association of Securities Dealers, Inc. ("NASD"), pursuant to "Selling Agent Agreements" in substantially the form attached hereto as Exhibit "B." The Managing General Partner shall have three business days after the receipt of an executed Selling Agent Agreement to refuse that Selling Agent's participation.
Grant of Authority to the Dealer Manager. (a) Based on the representations and warranties contained in this Agreement, and subject to the terms and conditions set forth in this Agreement, the Managing General Partner appoints you as the Dealer-Manager for the Partnerships and gives you the exclusive right to solicit subscriptions for the Units on a "best efforts" basis in the states of:
(i) Minnesota; and
(ii) New Hampshire during the offering period as described in the Prospectus.
(b) In the states of Minnesota and New Hampshire you agree to use your best efforts to effect sales of the Units and to form and manage a selling group composed of soliciting broker/dealers, which are referred to as the "Selling Agents," each of which shall be a member of the National Association of Securities Dealers, Inc., which is referred to as the "NASD," and shall enter into a "Selling Agent Agreement" in substantially the form attached to this Agreement as Exhibit "B." The Managing General Partner shall have three business days after the receipt of an executed Selling Agent Agreement to refuse that Selling Agent's participation.
Grant of Authority to the Dealer Manager. (a) Based on the representations and warranties contained in this Agreement, and subject to the terms and conditions set forth in this Agreement, the Fund appoints you as the Dealer Manager for the Fund during the Offering Period (as defined in Section 3(b)). As the Dealer Manager, you agree to use your best efforts to effect sales of the Shares on the terms and conditions described herein and in the then-current Prospectus. More particularly, without limitation of the generality of the foregoing, you will, and will cause your personnel to:
i. Diligently promote the marketing and sale of the Shares to financial intermediaries, the media, and other third parties (collectively, "Marketing Recipients") and cooperate with the Fund in doing so;
ii. Fully understand the Shares and terms of the Offering;
iii. Distribute sales information, literature, advertising materials and general information concerning the Shares as directed by the Fund;
iv. Furnish to the Fund such reports, market data and other information concerning marketing efforts as from time to time may be reasonably requested by the Fund;
v. Promptly forward to the Company copies of all inquiries and relevant correspondence received by you or your personnel regarding the Offering or the Fund;
vi. Fully comply with all state and federal securities laws and regulations;
vii. Maintain proper FINRA licensing required to perform all duties contemplated under this Agreement; and
viii. Maintain a complete and accurate record of all sales-related activity, and furnish the same to the Fund upon request.
Grant of Authority to the Dealer Manager. (a) Based on the representations and warranties contained in this Agreement, and subject to the terms and conditions set forth in this Agreement, the General Partner appoints you as the Dealer-Manager for the Partnership and gives you the exclusive right to solicit subscriptions for the Units on a “best efforts” basis in all states, and to form and manage a selling group composed of soliciting broker/dealers (the “Selling Dealers”). Each Selling Dealer shall be duly registered as a broker-dealer under the Securities Exchange Act of 1934, as amended (the “1934 Act”), and in the jurisdictions where it is required to be registered in order to offer and sell the Units, shall be a member in good standing of the National Association of Securities Dealers, Inc. (the “NASD”), and shall enter into a “Selling Dealer Agreement” in substantially the form attached to this Agreement as Exhibit “B.”
(b) The General Partner shall have three business days after the receipt of an executed Selling Dealer Agreement to refuse that Selling Dealer’s participation.
Grant of Authority to the Dealer Manager. On the basis of the representations and warranties contained in this Agreement, and subject to the terms and conditions set forth in this Agreement, the Managing General Partner hereby appoints you as the Dealer-Manager for the Partnership and gives you the exclusive right to solicit subscriptions for the Units on a "best efforts" basis in all states other than:
(a) Minnesota; and
Grant of Authority to the Dealer Manager. (a) Based on the representations and warranties contained in this Agreement, and subject to the terms and conditions set forth in this Agreement, the General Partner appoints you as the Dealer-Manager for the Partnership and gives you the exclusive right to solicit subscriptions for the Units on a "best efforts" basis in all states other than those listed on Appendix "A" to this Agreement, and to form and manage a selling group composed of soliciting broker/dealers (the "SELLING DEALERS"). Each Selling Dealer shall be duly registered as a broker-dealer under the Securities Exchange Act of 1934, as amended (the "1934 ACT"), and in the jurisdictions where it is required to be registered in order to offer and sell the Units, shall be a member in good standing of the National Association of Securities Dealers, Inc. (the "NASD"), and shall enter into a "Selling Dealer Agreement" in substantially the form attached to this Agreement as Exhibit "B."
(b) The General Partner shall have three business days after the receipt of an executed Selling Dealer Agreement to refuse that Selling Dealer's participation.
Grant of Authority to the Dealer Manager. (a) Based on the representations and warranties contained in this Agreement, and subject to the terms and conditions set forth in this Agreement, the Fund appoints you as the Dealer Manager for the Fund during the Offering Period (as defined in Section 2(b)). As the Dealer Manager, you agree to provide those certain marketing services as described in the Wholesaler Marketing Agreement between you and ALPS Distributors, Inc. dated [ ], 2016 for the Fund’s benfit.
Grant of Authority to the Dealer Manager. (a) Based on the representations and warranties contained in this Agreement, and subject to the terms and conditions set forth in this Agreement, the Managing General Partner appoints you as the Dealer- Manager for the Partnerships and gives you the exclusive right to solicit subscriptions for the Units on a "best efforts" basis in all states other than:
(i) Minnesota; and
(ii) New Hampshire during the offering period as described in the Prospectus.
(b) In all states other than Minnesota and New Hampshire you agree to use your best efforts to effect sales of the Units and to form and manage a selling group composed of soliciting broker/dealers, which are referred to as the "Selling Agents," each of which shall be a member of the National Association of Securities Dealers, Inc., which is referred to as the "NASD," and shall enter into a "Selling Agent Agreement" in substantially the form attached to this Agreement as Exhibit "B."
(c) The Managing General Partner shall have three business days after the receipt of an executed Selling Agent Agreement to refuse that Selling Agent's participation.
