Common use of License and Association Membership Clause in Contracts

License and Association Membership. Dealer's acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under Federal and state securities laws and regulations and in all states where it offers or sells Shares, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to comply with the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 and 2750.

Appears in 14 contracts

Samples: Dealer Manager Agreement (Hartman Commercial Properties Reit), Dealer Manager Agreement (Hartman Commercial Properties Reit), Dealer Manager Agreement (Cole Credit Property Trust II Inc)

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License and Association Membership. Dealer's acceptance of this Agreement constitutes a representation to the Company Company, the Manager and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares Units under Federal and state securities laws and regulations and in all states where it offers or sells SharesUnits, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such associationto NASD, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to comply with abide by the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 and 2750.

Appears in 6 contracts

Samples: Selected Dealer Agreement (Vestin Fund Iii LLC), Selected Dealer Agreement (Re Investments Iii LLC), Selected Dealer Agreement (Dm Mortgage Investors LLC)

License and Association Membership. Dealer's acceptance of this Agreement constitutes a representation to the Company Partnership and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares Units under Federal and state securities laws and regulations and in all states where it offers or sells SharesUnits, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to comply with abide by the NASD Conduct Rules of the NASDRules, including including, but not limited to to, Rules 2730, 2740, 2420 and 2750, and the provisions in Rule 2810 that apply to Direct Participation Programs.

Appears in 6 contracts

Samples: Dealer Manager Distribution Agreement (Behringer Harvard Mid Term Value Enhancement Fund I Lp), Dealer Manager Distribution Agreement (Behringer Harvard Mid Term Value Enhancement Fund I Lp), Dealer Manager Distribution Agreement (Behringer Harvard Mid Term Value Enhancement Fund I Lp)

License and Association Membership. Dealer's ’s acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under Federal and state securities laws and regulations and in all states where it offers or sells Shares, and that it is a member in good standing of the NASDFINRA. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to comply with the Conduct Rules of the NASDFINRA, including but not limited to Rules 2730, 2740, 2420 and 2750.

Appears in 4 contracts

Samples: Dealer Manager Agreement (Cole Credit Property Trust III, Inc.), Dealer Manager Agreement (Cole Credit Property Trust III, Inc.), Dealer Manager Agreement (Cole Retail Income Trust, Inc.)

License and Association Membership. Dealer's ’s acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under Federal and state securities laws and regulations and in all states where it offers or sells Shares, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to abide by the Rules of Fair Practice of the NASD and to comply with the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 and 27502750 of the NASD Conduct Rules.

Appears in 4 contracts

Samples: Dealer Manager Agreement (Wells Real Estate Investment Trust Ii Inc), Dealer Manager Agreement (Wells Real Estate Investment Trust Ii Inc), Dealer Manager Agreement (Wells Real Estate Investment Trust Ii Inc)

License and Association Membership. Dealer's acceptance of this Agreement constitutes a representation to the Company Fund, the Manager and the Dealer Manager Underwriter that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares Units under Federal and state securities laws and regulations and in all states where it offers or sells SharesUnits, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such associationto NASD, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager Underwriter immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager Underwriter also hereby agrees to comply with abide by the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 and 2750.

Appears in 3 contracts

Samples: Selected Dealer Agreement (Global Express Capital Real Estate Investment Fund I LLC), Selected Dealer Agreement (Global Express Capital Real Estate Investment Fund I LLC), Selected Dealer Agreement (Global Express Capital Real Estate Investment Fund I LLC)

License and Association Membership. Dealer's ’s acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under Federal and state securities laws and regulations and in all states where it offers or sells Shares, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to comply with the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 and 2750.

Appears in 3 contracts

Samples: Dealer Manager Agreement (Behringer Harvard Opportunity REIT I, Inc.), Dealer Manager Agreement (Cole Credit Property Trust Inc), Dealer Manager Agreement (Hartman Commercial Properties Reit)

License and Association Membership. Dealer's ’s acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under Federal and state securities laws and regulations and in all states where it offers or sells Shares, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The In addition, each of the Dealer Manager also and Dealer hereby agrees to comply with the Conduct Rules of the NASD, including but not limited to Rules 2420, 2730, 2740, 2420 2740 and 2750.

Appears in 2 contracts

Samples: Dealer Manager Agreement (Behringer Harvard Reit I Inc), Dealer Manager Agreement (Behringer Harvard Reit I Inc)

License and Association Membership. Dealer's acceptance of this Agreement constitutes a representation to the Company Partnership and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares Units under Federal and state securities laws and regulations and in all states where it offers or sells SharesUnits, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to comply with abide by the Conduct Rules of Fair Practice of the NASD, including but not limited to Rules 2730, 2740, 2420 and 2750.

Appears in 2 contracts

Samples: Dealer Manager Distribution Agreement (Wells Real Estate Fd Xii L P & Wells Real Estate Fd Xiii Lp), Dealer Manager Distribution Agreement (Wells Real Estate Fund Xiii L P)

License and Association Membership. Dealer's acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares Notes under Federal and state securities laws and regulations and in all states where it offers or sells SharesNotes, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such associationto NASD, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager Company immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager Company also hereby agrees to comply with abide by the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 and 2750.

Appears in 2 contracts

Samples: Selected Dealer Agreement (Vestin Group Inc), Selected Dealer Agreement (Vestin Group Inc)

License and Association Membership. Dealer's acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under Federal and state securities laws and regulations and in all states where it offers or sells Shares, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to comply with abide by the Conduct Rules of Fair Practice of the NASD, including but not limited to Rules 2730, 2740, 2420 and 2750.

Appears in 2 contracts

Samples: Dealer Manager Distribution Agreement (Wells Real Estate Investment Trust Inc), Dealer Manager Distribution Agreement (Wells Real Estate Investment Trust Inc)

License and Association Membership. Dealer's acceptance of this Agreement constitutes a representation to the Company Company, the Manager and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares Notes under Federal and state securities laws and regulations and in all states where it offers or sells SharesNotes, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such associationto NASD, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to comply with abide by the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 and 2750.

Appears in 2 contracts

Samples: Selected Dealer Agreement (Vestin Group Inc), Selected Dealer Agreement (Vestin Group Inc)

License and Association Membership. Dealer's ’s acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under Federal and state securities laws and regulations and in the securities laws and regulations of all states where it Dealer offers or sells Shares, and that it is a member in good standing of the National Association of Securities Dealers (the “NASD”). This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in standing of the case of a foreign dealer, so to conformNASD. The Dealer Manager also hereby agrees to comply with the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 and 2750.

Appears in 2 contracts

Samples: Dealer Manager Agreement (Behringer Harvard Opportunity REIT I, Inc.), Dealer Manager Agreement (Behringer Harvard Opportunity REIT I, Inc.)

License and Association Membership. Dealer's ’s acceptance of this Agreement constitutes a representation to the Company Partnership and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares Units under Federal and state securities laws and regulations and in all states where it offers or sells SharesUnits, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to abide by the Rules of Fair Practice of the NASD and to comply with the Conduct Rules 2420, 2730, 2740 and 2750 of the NASD, including but not limited to Rules 2730, 2740, 2420 and 2750NASD Conduct Rules.

Appears in 1 contract

Samples: Dealer Manager Agreement (Wells Real Estate Fund Xiv Lp)

License and Association Membership. Dealer's acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under Federal and state securities laws and regulations and in all states where it offers or sells Shares, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to comply with the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 2740 and 27502750 of the NASD Conduct Rules.

Appears in 1 contract

Samples: Dealer Manager Agreement (Behringer Harvard Reit I I Inc)

License and Association Membership. Dealer's acceptance of this Agreement constitutes a representation to the Company Partnership and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares Units under Federal and state securities laws and regulations and in all states where it offers or sells SharesUnits, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to comply with abide by the Conduct Rules of Fair Practice of the NASD, including but not limited to Rules 2730, 2740, 2420 and 2750.

Appears in 1 contract

Samples: Dealer Manager Distribution Agreement (Wells Real Estate Fd Xii L P & Wells Real Estate Fd Xiii Lp)

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License and Association Membership. Dealer's ’s acceptance of this Agreement constitutes a representation to the Company and the Dealer Dealer-Manager that Dealer is a properly registered or licensed securities broker-dealer, duly authorized to sell Shares under Federal federal and state securities laws and regulations and in all states where it offers or sells Shares, and that it is a member in good standing of the NASDFINRA. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, to so to conform. Dealer agrees to notify the Dealer Dealer-Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, to so to conform. The Dealer Manager also hereby agrees to comply with the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 and 2750.

Appears in 1 contract

Samples: Participating Dealer Agreement (AEI Core Property Income Trust, Inc)

License and Association Membership. Dealer's acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under Federal and state securities laws and regulations and in all states where it offers or sells Shares, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to abide by the Rules of Fair Practice of the NASD and to comply with the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 and 27502750 of the NASD Conduct Rules.

Appears in 1 contract

Samples: Dealer Manager Agreement (Wells Real Estate Investment Trust Inc)

License and Association Membership. Dealer's acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under Federal and state securities laws and regulations and in all states where it offers or sells Shares, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to abide by the Rules of Fair Practice of the NASD and to comply with the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 2740 and 27502750 of the NASD Conduct Rules.

Appears in 1 contract

Samples: Dealer Manager Agreement (Behringer Harvard Real Estate Investment Trust I Inc)

License and Association Membership. Dealer's ’s acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares shares under Federal and state securities laws and regulations and in all states where it offers or sells Sharesshares, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also and Dealer hereby agrees agree to abide by the Rules of Fair Practice of the NASD and to comply with the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 and 27502750 of the NASD Conduct Rules.

Appears in 1 contract

Samples: Dealer Manager Agreement (Wells Real Estate Investment Trust Inc)

License and Association Membership. Dealer's ’s acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under Federal federal and state securities laws and regulations and in all states where it offers or sells Shares, and that it is a member in good standing of the NASDFINRA. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to comply with the Conduct Rules of the NASDFINRA, including but not limited to Rules 2730, 2740, 2420 2420, 2750 and 27502790.

Appears in 1 contract

Samples: Dealer Manager Agreement (Lanier Capital REIT, Inc.)

License and Association Membership. Dealer's acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under Federal and state securities laws and regulations and in all states where it offers or sells Shares, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to abide by the Rules of Fair Practice of the NASD and to comply with the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 and 27502750 of the NASD Conduct Rules.

Appears in 1 contract

Samples: Dealer Manager Agreement (Wells Real Estate Investment Trust Inc)

License and Association Membership. Dealer's acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under Federal and state securities laws and regulations and in all states where it offers or sells Shares, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to comply with the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 2420, 2750 and 27502790.

Appears in 1 contract

Samples: Dealer Manager Agreement (Behringer Harvard Opportunity REIT I, Inc.)

License and Association Membership. Dealer's ’s acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under Federal federal and state securities laws and regulations and in all states where it offers or sells Shares, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to comply with the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 and 2750.

Appears in 1 contract

Samples: Dealer Manager Agreement (Cole Credit Property Trust II Inc)

License and Association Membership. Dealer's acceptance of this Agreement constitutes a representation to the Company Fund, the Manager and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares Certificates under Federal and state securities laws and regulations and in all states where it offers or sells SharesCertificates, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such associationto NASD, or in the case of a foreign dealer, so to conform. Dealer Xxxxxx agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby xxxxxx agrees to comply with abide by the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 and 2750.

Appears in 1 contract

Samples: Selected Dealer Agreement (Global Express Capital Real Estate Investment Fund I LLC)

License and Association Membership. Dealer's acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under Federal and state securities laws and regulations and in all states where it offers or sells Shares, and that it is a member in good standing of the NASD. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of such association, or in the case of a foreign dealer, so to conform. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing, or in the case of a foreign dealer, so to conform. The Dealer Manager also hereby agrees to comply with the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 and 27502750 of the NASD Conduct Rules.

Appears in 1 contract

Samples: Dealer Manager Agreement (Behringer Harvard Reit I Inc)

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