Participating Broker-Dealers. The Issuer will notify the Escrow Agent of the names of any participating broker/dealers other than the Issuer and the Escrow Agent is authorized to accept subscription payments from such broker/dealers and/or their customers.
Participating Broker-Dealers. Broker-dealers who are members of the Financial Industry Regulatory Authority, Inc., or that are exempt from broker-dealer registration, and who, in either case, have executed participating broker-dealer or other agreements with the Dealer Manager to sell Shares in an Offering.
Participating Broker-Dealers. The Seller hereby authorizes Selling Agent to engage other qualified broker-dealers (the “Participating Broker-Dealers”) to assist the Selling Agent in the placement of the Offered Securities; provided that during all times that each such Participating Broker-Dealer shall offer and sell the Offered Securities, each such Participating Broker-Dealer shall be registered as a broker-dealer under the Securities Exchange Act of 1934 (the “1934 Act”), shall be a member in good standing of the National Association of Securities Dealers, Inc. (“NASD”), and shall be authorized to offer and sell the Offered Securities under the laws of the jurisdictions in which the Offered Securities will be offered and sold by such Participating Broker-Dealer. All Participating Broker-Dealers will be required to execute a Participating Broker-Dealer Agreement, the form of which is subject to the reasonable approval of the Seller, with Selling Agent containing substantially the same terms and conditions as this Agreement, including, without limitation, the representations and warranties contained in Section 3.2 below and provisions for indemnification of the Seller to the same extent as your indemnification provided in Section 7 below. Any commissions, fees, or expenses payable to such Participating Broker-Dealers will be paid by the Selling Agent and not by the Seller.
Participating Broker-Dealers. The Underwriter will notify the Escrow Agent of the names of any participating broker/dealers other than the Underwriter and the Escrow Agent is authorized to accept subscription payments from such broker/dealers and/or their customers.
Participating Broker-Dealers. Participating Broker-Dealer also authorizes the Dealer Manager to exercise, in the Dealer Manager’s discretion, all the authority or discretion now or hereafter vested in the Dealer Manager by the provisions of the Dealer Manager Agreement and to take all such actions as the Dealer Manager may believe desirable in order to carry out the provisions of the Dealer Manager Agreement and of this Agreement.
Participating Broker-Dealers. The Shares offered and sold through the Dealer Manager under this Agreement shall be offered and sold only by the Dealer Manager and other securities dealers the Dealer Manager may retain (collectively the “Participating Broker-Dealers”); provided, however, that:
(i) the Dealer Manager reasonably believes that all Participating Broker-Dealers are registered with the Commission, members of FINRA and are duly licensed or registered by the regulatory authorities in the jurisdictions in which they will offer and sell Shares; and
(ii) all such engagements are evidenced by written agreements, the terms and conditions of which substantially conform to the form of Participating Broker-Dealer Agreement substantially in the form of Exhibit A hereto (the “Participating Broker-Dealer Agreement”).
Participating Broker-Dealers. The Shares offered and sold through the Selling Agent under this Agreement shall be offered and sold only by the Selling Agent and other securities dealers the Selling Agent may retain, if any (collectively the “Participating Broker-Dealers”); provided, however, that:
(i) the Selling Agent reasonably believes that all Participating Broker-Dealers are registered with the Commission, members of FINRA and are duly licensed or registered by the regulatory authorities in the jurisdictions in which they will offer and sell Shares; and
(ii) all such engagements are evidenced by written agreements in form and substance subject to the Company’s approval (each, a “Participating Broker-Dealer Agreement”).
Participating Broker-Dealers. If the tendering Holder is a broker- dealer (whether or not it is also an "affiliate" of the Company within the meaning of Rule 405 under the Securities Act) that will receive Registered Notes for its own account in exchange for Old Notes, it (i) represents that the Old Notes to be exchanged for the Registered Notes were acquired by it as a result of market-making activities or other trading activities, (ii) acknowledges that it will deliver a prospectus meeting the requirements of the Securities Act in connection with any resale of such Registered Notes, and (iii) acknowledges that such a secondary resale transaction should be covered by an effective registration statement containing the selling security holder information required by Item 507 of Regulation S- K. By acknowledging that it will deliver and by delivering a prospectus meeting the requirements of the Securities Act in connection with any resale of such Registered Notes, the undersigned is not deemed to admit that it is an "underwriter" within the meaning of the Securities Act.
Participating Broker-Dealers. Participating Broker-Dealers, as agents to Clients, will be responsible for (i) serving as broker-dealers and qualified custodians of Accounts and providing trade execution, custody and related services; (ii) delivering to Clients written confirmations (or, if available and selected by the Client, periodic reports in lieu of immediate confirmations) of trades executed or settled through such Participating Broker- Dealers; (iii) delivering to Clients Account statements, which will include all transactions made on behalf of the given Account, all contributions and withdrawals made to or from the Account and the value of the Account at the beginning and end of the period; and (iv) administering any sweep arrangement through which free credit balances and cash allocations in Accounts will be invested or deposited.
Participating Broker-Dealers. Participating Broker-Dealers, as an agent to Altruist, will serve as broker-dealer and qualified custodian of Platform Accounts and provide trade execution, custody and related services. Participating Broker-Dealers will deliver to Clients, directly or via Altruist, written confirmations (or, if available and selected by the Client, periodic reports in lieu of immediate confirmations) of trades executed or settled through such Participating Broker-Dealer. A Participating Broker-Dealer will deliver to Clients account statements for Platform Accounts, which will include all transactions made on behalf of the Platform Account, all contributions and withdrawals made to or from the Platform Account and the value of the Platform Account at the beginning and end of the period. A Participating Broker-Dealer will also maintain a sweep account through which free credit balances and a cash allocation in Platform Accounts will be held in an account of such Participating Broker-Dealer, with interest potentially passed through to the Client or Participating Broker-Dealer, at the discretion of Altruist.
