Common use of Limitations on Remuneration Clause in Contracts

Limitations on Remuneration. In respect of its duties under this Agreement, in no event may an Additional Selling Agent be entitled to receive any more than one of the foregoing two methods of remuneration (Initial Commission and Subsequent Commission) for the same month(s) or any other given time period. The Additional Selling Agent shall not be entitled to receive any remuneration in respect of any Unit for periods of time subsequent to the redemption of such Unit. Additionally, payment of remuneration is subject to the rules promulgated by FINRA, including Rule 2310, and other governing regulatory bodies. In the event that FINRA, or any other governing regulatory body, imposes any restriction on any remuneration hereunder, then SUSA’s obligation to pay such remuneration shall be limited to the extent of any such restriction. Regardless of whether the Additional Selling Agent is registered with the CFTC as a futures commission merchant or introducing broker and is a member in good standing of the NFA in such capacity, in no event shall the Additional Selling Agent be entitled to receive any remuneration under this Agreement unless the Additional Selling Agent is registered as a broker-dealer and is a member in good standing with FINRA.

Limitations on Remuneration. In respect of its duties under this Agreement, in no event may an Additional Intermediary Selling Agent be entitled to receive any more than one of the foregoing two methods of remuneration (Initial Commission and Subsequent Commission) for the same month(s) or any other given time period. The Additional Intermediary Selling Agent shall not be entitled to receive any remuneration in respect of any Unit for periods of time subsequent to the redemption of such Unit. Additionally, payment of remuneration is subject to the rules promulgated by the FINRA, including Rule 2310, and other governing regulatory bodies. In the event that the FINRA, or any other governing regulatory body, imposes any restriction on any remuneration hereunder, then SUSA’s obligation to pay such remuneration shall be limited to the extent of any such restriction. Regardless of whether the Additional Intermediary Selling Agent is registered with the CFTC as a futures commission merchant or introducing broker and is a member in good standing of the NFA in such capacity, in no event shall the Additional Intermediary Selling Agent be entitled to receive any remuneration under this Agreement unless the Additional Intermediary Selling Agent is registered as a broker-dealer and is a member in good standing with the FINRA.

Limitations on Remuneration. In respect of its duties under this Agreement, in no event may an Additional Intermediary Selling Agent be entitled to receive any more than one of the foregoing two methods of remuneration (Initial Commission and Subsequent Commission) for the same month(s) or any other given time period. The Additional Intermediary Selling Agent shall not be entitled to receive any remuneration in respect of any Unit for periods of time subsequent to the redemption of such Unit. Additionally, payment of remuneration is subject to the rules promulgated by FINRAthe NASD, including Conduct Rule 23102810, and other governing regulatory bodies. In the event that FINRAthe NASD, or any other governing regulatory body, imposes any restriction on any remuneration hereunder, then SUSASAM’s obligation to pay such remuneration shall be limited to the extent of any such restriction. Regardless of whether the Additional Intermediary Selling Agent is registered with the CFTC as a futures commission merchant or introducing broker and is a member in good standing of the NFA in such capacity, in no event shall the Additional Intermediary Selling Agent be entitled to receive any remuneration under this Agreement unless the Additional Intermediary Selling Agent is registered as a broker-dealer and is a member in good standing with FINRAthe NASD.