Offerings Pursuant to Offering Circular. In the case of any Offering of Securities other than a Registered Offering, which is made pursuant to an offering circular or other disclosure document comparable to a prospectus in a Registered Offering, we will provide to you electronically copies of each preliminary offering circular, if any, any offering circular supplement and of the final offering circular relating thereto and will make available to you such number of copies of the final offering circular as you may reasonably request as soon as practicable after sufficient copies are made available to us by the issuer of the Securities. You agree that you will comply with the applicable Federal and state laws, and the applicable rules and regulations of any regulatory body promulgated thereunder, governing the use and distribution of offering materials by brokers or dealers. You agree that in purchasing Securities pursuant to an offering circular you will rely upon no statements whatsoever, written or oral, other than the statements in the preliminary or final offering circular delivered to you by us. You will not be authorized by the issuer or other seller of Securities offered pursuant to an offering circular or by any Underwriter to give any information or to make any representation not contained in the offering circular in connection with the sale of such Securities. You agree that you have not relied, and will not rely, upon advice from us regarding the suitability of any Securities as an investment for you or your clients. You acknowledge and agree that it is your sole responsibility to ensure that, prior to any distribution, the Securities are suitable for your clients, it is lawful for your clients to purchase the Securities and the clients are capable of evaluating and have evaluated the risks and merits of an investment in the Securities. You agree not to market the Securities in any manner which is inconsistent with or not on the basis of the materials furnished to you for use in the distribution and you agree not to use marketing materials other than those that have been approved for use.
Appears in 14 contracts
Samples: Dealer Manager Agreement (Prospect Capital Corp), Selling Agent Agreement (BAC Capital Trust XIII), Dealer Manager Agreement (Prospect Capital Corp)
Offerings Pursuant to Offering Circular. In the case of any Offering of Securities other than a Registered Offering, which is made pursuant to an offering circular or other disclosure document comparable to a prospectus in a Registered Offering, we will provide to you electronically copies of each preliminary offering circular, if any, any offering circular supplement and of the final offering circular relating thereto and will make available to you such number of copies of the final offering circular as you may reasonably request as soon as practicable after sufficient copies are made available to us by the issuer of the Securities. You agree that you will comply with the applicable Federal and state laws, and the applicable rules and regulations of any regulatory body promulgated thereunder, governing the use and distribution of offering materials by brokers or dealers. You agree that in purchasing Securities pursuant to an offering circular you will rely upon no statements whatsoever, written or oral, other than the statements in the preliminary or final offering circular delivered to you by us. You will not be authorized by the issuer or other seller of Securities offered pursuant to an offering circular or by any Underwriter to give any information or to make any representation not contained in the offering circular in connection with the sale of such Securities. You agree that you have not relied, and will not rely, upon advice from us regarding the suitability of any Securities as an investment for you or your clients. You acknowledge and agree that it is your sole responsibility to ensure that, prior to any distribution, the Securities are suitable for your clients, it is lawful for your clients to purchase the Securities and the such clients are capable of evaluating and have evaluated the risks and merits of an investment in the Securities. You agree not to market the Securities in any manner which is inconsistent with or not on the basis of the materials furnished to you for use in the distribution and you agree not to use marketing materials other than those that have been approved for use.
Appears in 4 contracts
Samples: Selling Agent Agreement (Ally Financial Inc.), Selling Agent Agreement (Ally Financial Inc.), Selling Agent Agreement (Ally Financial Inc.)
Offerings Pursuant to Offering Circular. In the case of any Offering of Securities Notes other than a Registered Offering, which is made pursuant to an offering circular or other disclosure document comparable to a prospectus in a Registered Offering, we will provide to you electronically electronic copies of each preliminary offering circular, if any, any offering circular supplement and of the final offering circular relating thereto and will make available to you such number of copies of the final offering circular as you may reasonably request as soon as practicable after sufficient copies are made available to us by the issuer of the SecuritiesNotes. You agree that you will comply with the applicable Federal and state laws, and the applicable rules and regulations of any regulatory body promulgated thereunder, governing the use and distribution of offering materials by brokers or dealers. You agree that in purchasing Securities Notes pursuant to an offering circular you will rely upon no statements whatsoever, written or oral, other than the statements in the preliminary or final offering circular delivered to you by usus or any term sheet or other written communication that would constitute an issuer free writing prospectus within the meaning of Rule 433 under the 1933 Act required to be filed with the SEC were the Offering a Registered Offering. You will not be authorized by the issuer or other seller of Securities Notes offered pursuant to an offering circular or by any Underwriter to give any information or to make any representation not contained in the offering circular in connection with the sale of such SecuritiesNotes. You agree that you have not relied, and will not rely, upon advice from us regarding the suitability of any Securities Notes as an investment for you or your clients. You acknowledge and agree that it is your sole responsibility to ensure that, prior to any distribution, the Securities Notes are suitable for your clients, it is lawful for your clients to purchase the Securities Notes and the clients are capable of evaluating and have evaluated the risks and merits of an investment in the SecuritiesNotes. You agree not to market the Securities Notes in any manner which is inconsistent with or not on the basis of the materials furnished to you for use in the distribution and you agree not to use marketing materials other than those that have been approved for use.
Appears in 3 contracts
Samples: Selling Agent Agreement (Paccar Financial Corp), Selling Agent Agreement (Westpac Banking Corp), Selling Agent Agreement (Paccar Financial Corp)
Offerings Pursuant to Offering Circular. In the case of any Offering of Securities other than a Registered Offering, which is made pursuant to an offering circular or other disclosure document comparable to a prospectus in a Registered Offering, we will provide to you electronically copies of each preliminary offering circular, if any, any offering circular supplement and of the final offering circular relating 47166115.8 thereto and will make available to you such number of copies of the final offering circular as you may reasonably request as soon as practicable after sufficient copies are made available to us by the issuer of the Securities. You agree that you will comply with the applicable Federal and state laws, and the applicable rules and regulations of any regulatory body promulgated thereunder, governing the use and distribution of offering materials by brokers or dealers. You agree that in purchasing Securities pursuant to an offering circular you will rely upon no statements whatsoever, written or oral, other than the statements in the preliminary or final offering circular delivered to you by us. You will not be authorized by the issuer or other seller of Securities offered pursuant to an offering circular or by any Underwriter to give any information or to make any representation not contained in the offering circular in connection with the sale of such Securities. You agree that you have not relied, and will not rely, upon advice from us regarding the suitability of any Securities as an investment for you or your clients. You acknowledge and agree that it is your sole responsibility to ensure that, prior to any distribution, the Securities are suitable for your clients, it is lawful for your clients to purchase the Securities and the clients are capable of evaluating and have evaluated the risks and merits of an investment in the Securities. You agree not to market the Securities in any manner which is inconsistent with or not on the basis of the materials furnished to you for use in the distribution and you agree not to use marketing materials other than those that have been approved for use.
Appears in 2 contracts
Samples: Selling Agent Agreement (Priority Income Fund, Inc.), Selling Agent Agreement (Priority Income Fund, Inc.)
Offerings Pursuant to Offering Circular. In the case of any Offering of Securities Securities, other than a Registered Offering, which is made pursuant to an offering circular or other disclosure document comparable to a prospectus in a Registered Offering, we will shall provide to you electronically with such number of copies of each preliminary offering circular, if any, any offering circular supplement of the documents contained in the Disclosure Package relating to such Securities and of the final offering circular relating thereto and will make available to you such number of copies of the final offering circular as you may reasonably request as soon as practicable after sufficient copies are made available to us by the issuer of the Securitiesrequest. You agree that you will comply with the applicable Federal and state laws, and the applicable rules and regulations of any regulatory body promulgated thereunder, governing the use and distribution of offering materials such documents by brokers or dealers. You agree that in purchasing Securities pursuant to an offering circular you will rely upon no statements whatsoever, written or oral, other than the statements in the preliminary or Disclosure Package relating to such Securities and in the final offering circular delivered to you by us. You will not be authorized by the issuer or other seller of Securities offered pursuant to an offering circular or by any Underwriter to give any information or to make any representation not contained in the Disclosure Package relating to such Securities or in the offering circular in connection with the sale of such Securities. You agree Securities provided that you have may not relied, and will not rely, upon advice from us regarding the suitability of any Securities as an investment for you or your clients. You acknowledge and agree that it is your sole responsibility to ensure that, prior give to any distribution, prospective purchaser of the Securities are suitable for your clients, it is lawful for your clients any written information in respect thereof other than the materials contained in the Disclosure Package or offering circulars relating to purchase such Securities or any other offering materials prepared by or with the Securities consent of the issuer and the clients are capable of evaluating and have evaluated the risks and merits of an investment in the Securities. You agree not to market the Securities in any manner which is inconsistent with or not on the basis of the materials furnished to you for use in the distribution and you agree not to use marketing materials other than those that have been approved for usePurchasing Agent.
Appears in 2 contracts
Samples: Selling Agent Agreement (Prudential Financial Capital Trust Ii), Selling Agent Agreement (Prudential Financial Capital Trust Iii)
Offerings Pursuant to Offering Circular. In the case of any Offering of Securities Securities, other than a Registered Offering, which is made pursuant to an offering circular or other disclosure document comparable to a prospectus in a Registered Offering, we will the Purchasing Agent shall provide to you electronically each Selected Dealer with such number of copies of each preliminary offering circular, if anyof the documents contained in the Disclosure Package relating to such Securities, any offering circular supplement and of the final offering circular relating thereto and will make available to you such number of copies of the final offering circular as you it may reasonably request as soon as practicable after sufficient copies are made available to us by the issuer of the Securitiesrequest. You agree Each Selected Dealer agrees that you it will comply with the applicable Federal and state laws, and the applicable rules and regulations of any regulatory body promulgated thereunder, governing the use and distribution of offering materials such documents by brokers or dealers. You agree Each Selected Dealer agrees that in purchasing Securities pursuant to an offering circular you circular, it will rely upon no statements whatsoever, written or oral, other than the statements in the preliminary or Disclosure Package relating to such Securities and in final offering circular delivered to you such Selected Dealer by usthe Purchasing Agent. You The Selected Dealers will not be authorized by the issuer or other seller of Securities offered pursuant to an offering circular or by any Underwriter Underwriter, to give any information or to make any representation not contained in the Disclosure Package relating to such Securities or in the offering circular in connection with the sale of such Securities. You agree ; provided that you have not relied, and will not rely, upon advice from us regarding the suitability of any Securities as an investment for you or your clients. You acknowledge and agree that it is your sole responsibility to ensure that, prior no Selected Dealer may give to any distribution, prospective purchaser of the Securities are suitable for your clients, it is lawful for your clients any written information in respect thereof other than the materials contained in the Disclosure Package or offering circulars relating to purchase such Securities or any other offering materials prepared by or with the Securities consent of the issuer and the clients are capable of evaluating and have evaluated the risks and merits of an investment in the Securities. You agree not to market the Securities in any manner which is inconsistent with or not on the basis of the materials furnished to you for use in the distribution and you agree not to use marketing materials other than those that have been approved for usePurchasing Agent.
Appears in 2 contracts
Samples: Selling Agent Agreement (Prudential Financial Capital Trust Ii), Selling Agent Agreement (Prudential Financial Capital Trust Iii)
Offerings Pursuant to Offering Circular. In the case of any Offering of Securities other than a Registered Offering, which is made pursuant to an offering circular or other disclosure document comparable to a prospectus in a Registered Offering, we will provide to you electronically copies of each preliminary offering circular, if any, any offering circular supplement and of the final offering circular relating thereto and will make available to you such number of copies of the final offering circular as you may reasonably request as soon as practicable after sufficient copies are made available to us by the issuer of the Securities. You agree that you will comply with the applicable Federal and state laws, and the applicable rules and regulations of any regulatory body promulgated thereunder, governing the use and distribution of offering materials by brokers or dealers. You agree that in purchasing Securities pursuant to an offering circular you will rely upon no statements whatsoever, written or oral, other than the statements in the preliminary or final offering circular delivered to you by us. You will not be authorized by the issuer or other seller NY2-736121 of Securities offered pursuant to an offering circular or by any Underwriter to give any information or to make any representation not contained in the offering circular in connection with the sale of such Securities. You agree that you have not relied, and will not rely, upon advice from us regarding the suitability of any Securities as an investment for you or your clients. You acknowledge and agree that it is your sole responsibility to ensure that, prior to any distribution, the Securities are suitable for your clients, it is lawful for your clients to purchase the Securities and the clients are capable of evaluating and have evaluated the risks and merits of an investment in the Securities. You agree not to market the Securities in any manner which is inconsistent with or not on the basis of the materials furnished to you for use in the distribution and you agree not to use marketing materials other than those that have been approved for use.
Appears in 1 contract
Samples: Selling Agent Agreement (Bank of America Corp /De/)
Offerings Pursuant to Offering Circular. In the case of any Offering of Securities Securities, other than a Registered Offering, which is made pursuant to an offering circular or other disclosure document comparable to a prospectus in a Registered Offering, we will provide to you electronically copies of each preliminary offering circular, if any, any offering circular supplement and of the final offering circular relating thereto and will make available to you such number of copies of the final offering circular as you may reasonably request as soon as practicable after sufficient copies are made available to us by the issuer of the Securities. You agree that you will comply with the applicable Federal and state laws, and the applicable rules and regulations of any regulatory body promulgated thereunder, governing the use and distribution of offering materials by brokers or dealers. You agree that in purchasing Securities pursuant to an offering circular you will rely upon no statements whatsoever, written or oral, other than the statements in the preliminary or final offering circular delivered to you by us. You will not be authorized by the issuer or other seller of Securities offered pursuant to an offering circular or by any Underwriter to give any information or to make any representation not contained in the offering circular in connection with the sale of such Securities. You agree that you have not relied, and will not rely, upon advice from us regarding the suitability of any Securities as an investment for you or your clients. You acknowledge and agree that it is your sole responsibility to ensure that, prior to any distribution, the Securities are suitable for your clients, it is lawful for your clients to purchase the Securities and the clients are capable of evaluating and have evaluated the risks and merits of an investment in the Securities. You agree not to market the Securities in any manner which is inconsistent with or not on the basis of the materials furnished to you for use in the distribution and you agree not to use marketing materials other than those that have been approved for use.
Appears in 1 contract
Offerings Pursuant to Offering Circular. In the case of any Offering of Securities Securities, other than a Registered Offering, which is made pursuant to an offering circular or other disclosure document comparable to a prospectus in a Registered Offering, we will shall provide to you electronically with such number of copies of each preliminary offering circular, if any, any offering circular supplement and of the final offering circular relating thereto and will make available to you such number of copies of the final offering circular as you may reasonably request as soon as practicable after sufficient copies are made available to us by the issuer of the Securitiesrequest. You agree that you will comply with the applicable Federal and state laws, and the applicable rules and regulations of any regulatory body promulgated thereunder, governing the use and distribution of offering materials circulars by brokers or dealers. You agree that in purchasing Securities pursuant to an offering circular you will rely upon no statements whatsoever, written or oral, other than the statements in the preliminary or final offering circular delivered to you by us. You will not be authorized by the issuer or other seller of Securities offered pursuant to an offering circular or by any Underwriter to give any information or to make any representation not contained in the offering circular in connection with the sale of such Securities. You Offer and Sale to the Public. With respect to any Offering of Securities, we will inform you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when you may commence selling Securities to the public. After such public offering has commenced, we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, the “Concession” and the “Reallowance”. With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 4 hereof, you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by us, you may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the “Concession”. If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who execute the written agreement prescribed by Rule 2740 of the Conduct Rules of the former National Association of Securities Dealers, Inc. (the “NASD”), now Financial Industry Regulatory Authority, Inc. (the “FINRA”) and who are either members in good standing of the FINRA or foreign banks, dealers or institutions not eligible for membership in the FINRA who represent to you that you have not relied, they will promptly reoffer such Securities at the Public Offering Price and will not relyabide by the conditions with respect to foreign banks, upon advice from us regarding the suitability of any Securities as an investment for you or your clients. You acknowledge dealers and agree that it is your sole responsibility to ensure that, prior to any distribution, the Securities are suitable for your clients, it is lawful for your clients to purchase the Securities and the clients are capable of evaluating and have evaluated the risks and merits of an investment institutions set forth in the Securities. You agree not to market the Securities in any manner which is inconsistent with or not on the basis of the materials furnished to you for use in the distribution and you agree not to use marketing materials other than those that have been approved for useSection 3(e) hereof.
Appears in 1 contract
Offerings Pursuant to Offering Circular. In the case of any Offering of Securities other than a Registered Offering, which is made pursuant to an offering circular or other disclosure document comparable to a prospectus in a Registered Offering, we the Purchasing Agent will provide to you each Selected Dealer electronically copies of each preliminary offering circular, if any, any offering circular supplement and of the final offering circular relating thereto and will make available to you each Selected Dealer such number of copies of the final offering circular as you it may reasonably request as soon as practicable after sufficient copies are made available to us the Purchasing Agent by the issuer of the Securities. You agree Each Selected Dealer agrees that you it will comply with the applicable Federal and state laws, and the applicable rules and regulations of any regulatory body promulgated thereunder, governing the use and distribution of offering materials by brokers or dealers. You agree Each Selected Dealer agrees that in purchasing Securities pursuant to an offering circular you it will rely upon no statements whatsoever, written or oral, other than the statements in the preliminary or final offering circular delivered to you each Selected Dealer by usthe Purchasing Agent. You The Selected Dealers will not be authorized by the issuer or other seller of Securities offered pursuant to an offering circular or by any Underwriter Underwriter, to give any information or to make any representation not contained in the offering circular in connection with the sale of such Securities. You agree Each Selected Dealer agrees that you have it has not relied, and will not rely, upon advice from us the Purchasing Agent regarding the suitability of any Securities as an investment for you itself or your its clients. You acknowledge Each Selected Dealer acknowledges and agree agrees that it is your its sole responsibility to ensure that, prior to any distribution, the Securities are suitable for your its clients, it is lawful for your its clients to purchase the Securities and the clients are capable of evaluating and have evaluated the risks and merits of an investment in the Securities. You agree Each Selected Dealer agrees not to market the Securities in any manner which is inconsistent with or not on the basis of the materials furnished to you it for use in the distribution and you agree it agrees not to use marketing materials other than those that have been approved for use.
Appears in 1 contract
Samples: Selling Agent Agreement (Prudential Financial Capital Trust Iii)
Offerings Pursuant to Offering Circular. In the case of any Offering of Securities other than a Registered Offering, which is made pursuant to an offering circular or other disclosure document comparable to a prospectus in a Registered Offering, we the Purchasing Agent will provide to you electronically each Selected Dealer electronic copies of each preliminary offering circular, if any, any offering circular supplement and of the final offering circular relating thereto and will make available to you each Selected Dealer such number of copies of the final offering circular as you it may reasonably request as soon as practicable after sufficient copies are made available to us the Purchasing Agent by the issuer of the Securities. You agree Each Selected Dealer agrees that you it will comply with the applicable Federal and state laws, and the applicable rules and regulations of any regulatory body promulgated thereunder, governing the use and distribution of offering materials by brokers or dealers. You agree Each Selected Dealer agrees that in purchasing Securities pursuant to an offering circular you it will rely upon no statements whatsoever, written or oral, other than the statements in the preliminary or final offering circular delivered to you each Selected Dealer by usthe Purchasing Agent. You The Selected Dealers will not be authorized by the issuer or other seller of Securities offered pursuant to an offering circular or by any Underwriter Underwriter, to give any information or to make any representation not contained in the offering circular in connection with the sale of such Securities. You agree Each Selected Dealer agrees that you have it has not relied, and will not rely, upon advice from us the Purchasing Agent regarding the suitability of any Securities as an investment for you itself or your its clients. You acknowledge Each Selected Dealer acknowledges and agree agrees that it is your its sole responsibility to ensure that, prior to any distribution, the Securities are suitable for your its clients, it is lawful for your its clients to purchase the Securities and the clients are capable of evaluating and have evaluated the risks and merits of an investment in the Securities. You agree Each Selected Dealer agrees not to market the Securities in any manner which is inconsistent with or not on the basis of the materials furnished to you it for use in the distribution and you agree it agrees not to use marketing materials other than those that have been approved for use.
Appears in 1 contract
Samples: Selling Agent Agreement (Prudential Financial Capital Trust Iii)