Licensing and Compliance. The Company and the Dealer Manager covenant that any persons employed or retained by them to provide sales support or wholesaling services in support of Ameriprise or its clients shall be licensed in accordance with all applicable laws, will comply with all applicable federal and state securities laws and regulations, and will use only sales literature approved and authorized by the Company and the Dealer Manager.
Appears in 26 contracts
Samples: Selected Dealer Agreement (BLACK CREEK INDUSTRIAL REIT IV Inc.), Dealer Agreement (Nuveen Global Cities REIT, Inc.), Dealer Agreement
Licensing and Compliance. The Company and the Dealer Manager covenant that any persons employed or retained by them to provide sales support or wholesaling services in support of Ameriprise Financial or its clients shall be licensed in accordance with all applicable laws, will comply with all applicable federal and state securities laws and regulations, regulations and will use only sales literature approved and authorized by the Company and the Dealer Manager.
Appears in 3 contracts
Samples: Selected Dealer Agreement (Owl Rock Capital Corp II), Selected Dealer Agreement (Corporate Capital Trust, Inc.), Selected Dealer Agreement (Corporate Capital Trust, Inc.)
Licensing and Compliance. The Company and the Dealer Manager covenant that any persons employed or retained by them to provide sales support or wholesaling services in support of Ameriprise Financial or its clients shall be licensed in accordance with all applicable laws, will comply with all applicable federal and state securities laws and regulations, and will use only sales literature approved and authorized by the Company and the Dealer Manager.
Appears in 3 contracts
Samples: Selected Dealer Agreement (Industrial Income Trust Inc.), Selected Dealer Agreement (Industrial Income Trust Inc.), Selected Dealer Agreement (Behringer Harvard Multifamily Reit I Inc)
Licensing and Compliance. The Company and the Dealer Manager Sales Agent covenant that any persons employed or retained by them to provide sales support or wholesaling services in support of Ameriprise or its clients shall be licensed in accordance with all applicable laws, will comply with all applicable federal and state securities laws and regulations, and will use only sales literature approved and authorized by the Company Company, the Sales Agent and the Dealer ManagerAmeriprise.
Appears in 2 contracts
Samples: Dealer Agreement (Corporate Property Associates 16 Global Inc), Corporate Property Associates 16 Global Inc
Licensing and Compliance. The Company and the Dealer Manager covenant that any persons employed or retained by them to provide sales support or wholesaling services in support of Ameriprise or its clients shall be licensed in accordance with all applicable laws, will comply with all applicable federal and state securities laws and regulations, and will use only sales literature approved and authorized by the Company Company, and the Dealer Manager.
Appears in 1 contract
Samples: Selected Dealer Agreement (Hines Real Estate Investment Trust Inc)
Licensing and Compliance. The Company and the Dealer Manager covenant that any persons employed or retained by them to provide sales support or wholesaling services in support of Ameriprise or its clients shall be licensed in accordance with all applicable laws, will comply with all OC\1079834.2 Xxxxx Watermark Selected Dealer Agreement applicable federal and state securities laws and regulations, and will use only sales literature approved and authorized by the Company and the Dealer Manager.
Appears in 1 contract
Licensing and Compliance. The Company and the Dealer Manager Sales Agent covenant that any persons employed or retained by them to provide sales support or wholesaling services in support of Ameriprise or its clients shall be licensed in accordance with all applicable laws, will comply with all applicable federal and state securities laws and regulations, and will use only sales literature approved and authorized by the Company and the Dealer ManagerSales Agent.
Appears in 1 contract
Samples: Selected Dealer Agreement (Corporate Property Associates 17 - Global INC)
Licensing and Compliance. The Company and the Managing Dealer Manager covenant that any persons employed or retained by them to provide sales support or wholesaling services in support of Ameriprise or its clients shall be licensed in accordance with all applicable laws, will comply with all applicable federal and state securities laws and regulations, and will use only sales literature approved and authorized by the Company and the Dealer ManagerManaging Dealer.
Appears in 1 contract
Licensing and Compliance. The Company and the Managing Dealer Manager covenant that any persons employed or retained by them (or with whom they contract) to provide sales support or wholesaling services in support of Ameriprise or its clients shall at all times be licensed in accordance with all applicable lawsappropriately licensed, will comply with all applicable federal and state securities laws and regulations, and will use only sales literature approved and authorized by the Company Company, Managing Dealer and the Dealer ManagerAmeriprise.
Appears in 1 contract
Samples: Soliciting Dealer Agreement (CNL Income Properties Inc)
