Limitation of Offer; Investor Suitability. (a) Soliciting Dealer will not offer Units and will not permit any of its registered representatives to offer Units in any jurisdiction unless both Soliciting Dealer and such registered representative are duly licensed to transact securities business in such jurisdiction. In offering Units, Soliciting Dealer shall comply with the provisions of the FINRA Rules.
Appears in 3 contracts
Samples: Soliciting Dealer Agreement (Preferred Apartment Communities Inc), Soliciting Dealer Agreement (Preferred Apartment Communities Inc), Soliciting Dealer Agreement
Limitation of Offer; Investor Suitability. (a) Soliciting Dealer will not offer Units and will not permit any of its registered representatives to offer Units in any jurisdiction unless both Soliciting Dealer and such registered representative are duly licensed to transact securities business in such jurisdiction. In offering Units, Soliciting Dealer shall comply with the provisions of the FINRA Rules.. Xxxxxxx Equity, LLC Soliciting Dealer Agreement 2
Appears in 2 contracts
Samples: Soliciting Dealer Agreement (GWG Holdings, Inc.), Soliciting Dealer Agreement (GWG Life, LLC)
