Limitation of Offer. (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 business in securities in such jurisdiction. In offering Units, Soliciting Dealer shall comply with the provisions of the Rules of Fair Practice set forth in the FINRA Manual, as well as all other applicable rules and regulations.
Appears in 7 contracts
Samples: Corporation Soliciting Dealer Agreement (CIM Commercial Trust Corp), Corporation Soliciting Dealer Agreement (CIM Commercial Trust Corp), Soliciting Dealer Agreement
