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 foreign laws, if applicable, and in all states or jurisdictions where it offers or sells Shares, and that it is a member in good standing of FINRA. This Agreement shall automatically terminate if Dealer ceases to be a member in good standing of FINRA. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing of FINRA. Dealer also hereby agrees to abide by the Rules of FINRA, including FINRA Rules 2040, 2111, 2121, 2310, 5110 and 5141.
Appears in 6 contracts
Samples: Dealer Manager Agreement (Nuveen Global Cities REIT, Inc.), Dealer Manager Agreement (Nuveen Global Cities REIT, Inc.), Dealer Manager Agreement (Nuveen Global Cities REIT, Inc.)
License and Association Membership. The Dealer’s acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that the Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under federal and state securities laws and regulations, and foreign laws, if applicable, regulations and in all states or jurisdictions where it offers or sells Shares, and that it is a member in good standing of FINRA. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of FINRA. The Dealer agrees to notify the Dealer Manager immediately if the Dealer ceases to be a member in good standing of FINRA. The Dealer also hereby agrees to abide by the Rules of FINRA, including FINRA Rules 2040, 2111, 2121, 2310, 5110 and 5141, and Rule 2420 of the NASD Conduct Rules (or any such rule’s successor FINRA Rule).
Appears in 5 contracts
Samples: Dealer Manager Agreement (Dividend Capital Diversified Property Fund Inc.), Dealer Manager Agreement (Dividend Capital Diversified Property Fund Inc.), Dealer Manager Agreement (Dividend Capital Diversified Property Fund Inc.)
License and Association Membership. Dealer’s acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager Parties that Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under federal and state securities laws and regulations, and foreign laws, if applicable, and in all states or jurisdictions where it offers or sells Shares, and that it is a member in good standing of FINRA. This Agreement shall automatically terminate if Dealer ceases to be a member in good standing of FINRA. Dealer Dxxxxx agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing of FINRA. Dealer also hereby agrees to abide by the Rules all applicable rules of FINRA, including without limitation FINRA Rules 2040, 2111, 2121, 2310, 5110 and 5141.
Appears in 4 contracts
Samples: Dealer Manager Agreement (BGO Industrial Real Estate Income Trust, Inc.), Dealer Manager Agreement (BGO Industrial Real Estate Income Trust, Inc.), Dealer Manager Agreement (BGO Industrial Real Estate Income Trust, Inc.)
License and Association Membership. The Dealer’s acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that the Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under federal Federal and state securities laws and regulations, and foreign laws, if applicable, regulations and in all states or jurisdictions where it offers or sells Shares, and that it is a member in good standing of FINRA. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of FINRA. The Dealer agrees to notify the Dealer Manager immediately if the Dealer ceases to be a member in good standing of FINRA. The Dealer also hereby agrees to abide by the Rules of FINRA, including FINRA Rules 2040, 2111, 2121, 2310, 5110 and 5141, and Rules 2310, 2420 and 2440 of the NASD Conduct Rules (or any such rule’s successor FINRA Rule).
Appears in 4 contracts
Samples: Selected Dealer Agreement (Dividend Capital Diversified Property Fund Inc.), Selected Dealer Agreement (Dividend Capital Total Realty Trust Inc.), Selected Dealer Agreement (Dividend Capital Total Realty 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 foreign laws, if applicable, and in all states or jurisdictions where it offers or sells Shares, and that it is a member in good standing of FINRA. This Agreement shall automatically terminate if Dealer ceases to be a member in good standing of FINRA. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing of FINRA. Dealer also hereby agrees to abide by the Rules of FINRA, including but not limited to FINRA Rules 2040, 2111, 2121, 2310, 5110 and 5141.
Appears in 3 contracts
Samples: Dealer Manager Agreement (Starwood Real Estate Income Trust, Inc.), Selected Dealer Agreement (Starwood Real Estate Income Trust, Inc.), Selected Dealer Agreement (Starwood Real Estate 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 foreign laws, if applicable, and in all states or jurisdictions where it offers or sells Shares, and that it is a member in good standing of FINRA. This Agreement shall automatically terminate if Dealer ceases to be a member in good standing of FINRA. Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing of FINRA. Dealer also hereby agrees to abide by the Rules all applicable rules of FINRA, including without limitation FINRA Rules 2040, 2111, 2121, 2310, 5110 and 5141.
Appears in 2 contracts
Samples: Dealer Manager Agreement (J.P. Morgan Real Estate Income Trust, Inc.), Dealer Manager Agreement (J.P. Morgan Real Estate 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 Federal and state securities laws and regulations, and foreign laws, if applicable, regulations and in all states or jurisdictions where it offers or sells Shares, and that it is a member in good standing of FINRA. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of FINRA. , and Dealer agrees to notify the Dealer Manager immediately if Dealer ceases to be a member in good standing of FINRAstanding. The Dealer Manager also hereby agrees to abide by comply with the Conduct Rules of FINRA, including FINRA but not limited to Rules 20402730, 21112740, 2121, 2310, 5110 2420 and 51412750.
Appears in 2 contracts
Samples: Dealer Manager Agreement (Cole Credit Property Trust III, Inc.), Dealer Manager Agreement (Cole Credit Property Trust III, Inc.)
License and Association Membership. Dealer’s acceptance of this Agreement constitutes a representation to the Company and the Dealer Intermediary 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 foreign laws, if applicable, and in all states or jurisdictions where it offers or sells Shares, and that it is a member in good standing of FINRA. This Agreement shall automatically terminate if Dealer ceases to be a member in good standing of FINRA. Dealer agrees to notify the Dealer Intermediary Manager immediately if Dealer ceases to be a member in good standing of FINRA. Dealer also hereby agrees to abide by the Rules of FINRA, including FINRA Rules 2040, 2111, 2121, 2310, 5110 and 5141.
Appears in 2 contracts
Samples: Intermediary Manager Agreement (Nuveen Churchill Private Capital Income Fund), Intermediary Manager Agreement (Nuveen Churchill Private Capital Income Fund)
License and Association Membership. The Dealer’s acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that the Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under federal and state securities laws and regulations, and foreign lawslaws (including the laws of the jurisdictions listed on Schedule III), if applicable, and in all states or jurisdictions where it offers or sells Shares, and that it is a member in good standing of FINRA. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of FINRA. The Dealer agrees to notify the Dealer Manager immediately if the Dealer ceases to be a member in good standing of FINRA. The Dealer also hereby agrees to abide by the Rules of FINRA, including FINRA Rules 2040, 2111, 2121, 2310, 5110 and 5141.
Appears in 1 contract
Samples: Dealer Manager Agreement (Blackstone Real Estate Income Trust, Inc.)
License and Association Membership. The Dealer’s acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that the Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under federal and state securities laws and regulations, and foreign lawslaws (including the laws of the jurisdictions listed on Schedule III), if applicable, and in all states or jurisdictions where it offers or sells Shares, and that it is a member in good standing of FINRA. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of FINRA. The Dealer agrees to notify the Dealer Manager immediately if the Dealer ceases to be a member in good standing of FINRA. The Dealer also hereby agrees to abide by the Rules all applicable rules of FINRA, including including, without limitation, FINRA Rules 2040, 2111, 2121, 2310, 5110 and 5141.
Appears in 1 contract
Samples: Dealer Manager Agreement (Cohen & Steers Income Opportunities REIT, Inc.)
License and Association Membership. The Dealer’s acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager that the Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under federal Federal and state securities laws and regulations, and foreign laws, if applicable, regulations and in all states or jurisdictions where it offers or sells Shares, and that it is a member in good standing of FINRA. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of FINRA. The Dealer agrees to notify the Dealer Manager immediately if the Dealer ceases to be a member in good standing of FINRA. The Dealer also hereby agrees to abide by the Rules of FINRA, including FINRA Rules 2040, 2111, 2121, 2310, 5110 and 5141, and Rules 2420 and 2440 of the NASD Conduct Rules (or any such rule’s successor FINRA Rule).
Appears in 1 contract
Samples: Dealer Manager Agreement (Dividend Capital Diversified Property Fund Inc.)
License and Association Membership. The Dealer’s 's acceptance of this Agreement constitutes a representation to the Company and the Dealer Manager Distributor that the Dealer is a properly registered or licensed broker-dealer, duly authorized to sell the Shares under federal and state securities laws and regulations, and foreign laws, if applicable, and in all states or jurisdictions where it offers or sells Shares, and that it is a member in good standing of FINRA. This Agreement shall automatically terminate if the Dealer ceases to be a member in good standing of FINRA. The Dealer agrees to notify the Dealer Manager Distributor immediately if the Dealer ceases to be a member in good standing of FINRA. The Dealer also hereby agrees to abide by by, and the Dealer agrees that it shall require any Custodian to abide by, the Rules of FINRA, including including, as applicable, FINRA Rules 2040, 2111, 2121, 2310, 2341, 5110 and 5141.
Appears in 1 contract
Samples: Selected Dealer Agreement (Ares Private Markets Fund)