Obligations of the Dealer Manager. 5.1 The Company hereby appoints the Dealer Manager as its exclusive agent during the Offering Period to solicit and to cause Selected Dealers to solicit subscriptions for the Offered Shares or make subscriptions to purchase the Offered Shares available at the subscription price to be paid in accordance with, and otherwise upon the terms and conditions set forth in, the Prospectus and the Subscription Agreement, and the Dealer Manager agrees to use its commercially reasonable efforts to offer, and to enter into Selected Dealer Agreements on behalf of the Company authorizing each such Selected Dealer to offer, the Offered Shares or make subscriptions to purchase the Offered Shares available during the Offering Period directly to potential investors that (a) satisfy the investor suitability standards (i) set forth in the Prospectus, (ii) provided under applicable State laws and (iii) provided in FINRA’s Rules and (b) are acceptable to the Company (the “Eligible Investors”). The Dealer Manager hereby agrees that it will not make representations or give information not contained in (x) the Prospectus or (y) any Approved Sales Literature. 5.2 Each Selected Dealer selected by the Dealer Manager is authorized by its Selected Dealer Agreement to find Eligible Investors for the Offered Shares who satisfy the suitability standards set forth in the Prospectus during the Offering Period and that are acceptable to the Company. Each date on which any investor is admitted to the Company and thereby becoming a shareholder is hereinafter called a “Closing Date.” 5.3 Any Approved Sales Literature shall, to the extent required, be filed by the Dealer Manager with, and approved by, FINRA.
Appears in 2 contracts
Samples: Dealer Manager Agreement (ICON ECI Fund Sixteen), Dealer Manager Agreement (ICON ECI Fund Sixteen)
Obligations of the Dealer Manager. 5.1 7.1 The Company hereby appoints the Dealer Manager as its exclusive agent during the Offering Period to solicit and to cause Selected Dealers to solicit subscriptions for the Offered Shares or make subscriptions to purchase the Offered Shares available at the subscription price to be paid in accordance with, and otherwise upon the terms and conditions set forth in, the Prospectus and the Subscription Agreement, and the Dealer Manager agrees to use its commercially reasonable efforts to offer, and to enter into Selected Dealer Agreements on behalf of the Company authorizing each such Selected Dealer to offer, the Offered Shares or make subscriptions to purchase the Offered Shares available during the Offering Period directly to potential investors that (a) satisfy the investor suitability standards (i) set forth in the Prospectus, (ii) provided under applicable State laws and (iii) provided in FINRA’s Rules and (b) are acceptable to the Company (the “Eligible Investors”). The Dealer Manager hereby agrees that it will not make representations or give information not contained in (x) the Prospectus or (y) any Approved Sales Literature.
5.2 7.2 Each Selected Dealer selected by the Dealer Manager is authorized by its Selected Dealer Agreement to find Eligible Investors for the Offered Shares who satisfy the suitability standards set forth in the Prospectus during the Offering Period and that are acceptable to the Company. Each date on which any investor is admitted to the Company and thereby becoming a shareholder stockholder is hereinafter called a “Closing Date.”
5.3 7.3 Any Approved Sales Literature shall, to the extent required, be filed by the Dealer Manager with, and approved by, FINRA.
Appears in 2 contracts
Samples: Dealer Manager Agreement (CION Investment Corp), Dealer Manager Agreement (CION Investment Corp)
Obligations of the Dealer Manager. 5.1 7.1 The Company hereby appoints the Dealer Manager as its exclusive agent during the Offering Period to solicit and to cause Selected Dealers to solicit subscriptions for the Offered Shares or make subscriptions to purchase the Offered Shares available at the subscription price to be paid in accordance with, and otherwise upon the terms and conditions set forth in, the Prospectus and the Subscription Agreement, and the Dealer Manager agrees to use its commercially reasonable efforts to offer, and to enter into Selected Dealer Agreements on behalf of the Company authorizing each such Selected Dealer to offeroffer or make available subscriptions to purchase, the Offered Shares or make subscriptions to purchase the Offered Shares available during the Offering Period directly to potential investors that (a) satisfy the investor suitability standards (i) set forth in the Prospectus, (ii) provided under applicable State laws and (iii) provided in FINRA’s Rules and (b) are acceptable to the Company (the “Eligible Investors”). The Dealer Manager hereby agrees that it will not make representations or give information not contained in (x) the Prospectus or (y) any Approved Sales Literature.
5.2 7.2 Each Selected Dealer selected by the Dealer Manager is authorized by its Selected Dealer Agreement to find Eligible Investors for the Offered Shares who satisfy the suitability standards set forth in the Prospectus during the Offering Period and that are acceptable to the Company. Each date on which any investor is admitted to the Company and thereby becoming a shareholder stockholder is hereinafter called a “Closing Date.”
5.3 7.3 Any Approved Sales Literature shall, to the extent required, be filed by the Dealer Manager with, and approved by, FINRA.
Appears in 2 contracts
Samples: Follow on Dealer Manager Agreement (CION Investment Corp), Follow on Dealer Manager Agreement (CION Investment Corp)