Rebates, Kickbacks and Reciprocal Arrangements. (i) The Adviser agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws. (ii) The Adviser agrees that it shall not directly or indirectly pay or award any fees or commissions or other compensation to any person or entity engaged to sell shares of Common Stock or give investment advice to a potential stockholder; provided, however, that this subsection shall not prohibit the payment to a registered broker-dealer or other properly licensed agent of sales commissions for selling or distributing shares of Common Stock.
Appears in 16 contracts
Samples: Investment Advisory and Administrative Services Agreement (First Capital Investment Corp), Investment Advisory and Administrative Services Agreement (First Capital Investment Corp), Investment Advisory and Administrative Services Agreement (FS Investment Corp III)
Rebates, Kickbacks and Reciprocal Arrangements. (i) The Adviser agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
(ii) The Adviser agrees that it shall not directly or indirectly pay or award any fees or commissions or other compensation to any person or entity engaged to sell shares of Common Stock the Company’s stock or give investment advice to a potential stockholder; provided, however, that this subsection shall not prohibit the payment to of a registered broker-dealer or other properly licensed agent of from sales commissions for selling or distributing shares of Common Stockthe Company’s common stock.
Appears in 9 contracts
Samples: Investment Advisory and Management Services Agreement (Business Development Corp of America), Investment Advisory and Management Services Agreement (Business Development Corp of America), Investment Advisory and Management Services Agreement (BUSINESS DEVELOPMENT Corp OF AMERICA II)
Rebates, Kickbacks and Reciprocal Arrangements. (i) The Adviser agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
(ii) The Adviser agrees that it shall not directly or indirectly pay or award any fees or commissions or other compensation to any person or entity engaged to sell the Company’s shares of Common Stock or give investment advice to a potential stockholdershareholder; provided, however, that this subsection shall not prohibit the payment to a registered broker-dealer or other properly licensed agent of sales commissions for selling or distributing shares of Common Stockthe Company’s shares.
Appears in 7 contracts
Samples: Investment Advisory Agreement (VII Peaks-KBR Co-Optivist Income BDC II, Inc.), Investment Advisory Agreement (Sierra Income Corp), Investment Advisory Agreement (Sierra Income Corp)
Rebates, Kickbacks and Reciprocal Arrangements. (i) The Adviser agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
(ii) The Adviser agrees that it shall not directly or indirectly pay or award any fees or commissions or other compensation to any person or entity engaged to sell shares of Common Stock the Company’s common stock or give investment advice to a potential stockholdershareholder; provided, however, that this subsection shall not prohibit the payment to a registered broker-dealer or other properly licensed agent of sales commissions for selling or distributing shares of Common Stockthe Company’s common stock.
Appears in 6 contracts
Samples: Investment Advisory and Administrative Services Agreement (Yorke Capital Corp), Investment Advisory Agreement (Griffin-Benefit Street Partners BDC Corp.), Investment Advisory and Administrative Services Agreement (Yorke Capital Corp)
Rebates, Kickbacks and Reciprocal Arrangements. (i) The Adviser agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
(ii) The Adviser agrees that it shall not directly or indirectly pay or award any fees or commissions or other compensation to any person or entity engaged to sell shares of the Company’s Common Stock Shares or give investment advice to a potential stockholder; provided, however, that this subsection shall not prohibit the payment to of a registered broker-dealer or other properly licensed agent of from sales commissions for selling or distributing shares of Common Stockthe Company’s common stock.
Appears in 4 contracts
Samples: Investment Advisory and Administrative Services Agreement (HMS Income Fund, Inc.), Investment Advisory and Administrative Services Agreement (HMS Income Fund, Inc.), Investment Advisory and Administrative Services Agreement (HMS Income Fund, Inc.)
Rebates, Kickbacks and Reciprocal Arrangements. (i) i. The Adviser agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
(ii) . The Adviser agrees that it shall not directly or indirectly pay or award any fees or commissions or other compensation to any person or entity engaged to sell shares of Common Stock the Company’s stock or give investment advice to a potential stockholder; provided, however, that this subsection shall not prohibit the payment to of a registered broker-dealer or other properly licensed agent of from sales commissions for selling or distributing shares of Common Stockthe Company’s common stock.
Appears in 4 contracts
Samples: Investment Adviser Agreement (Triton Pacific Investment Corporation, Inc.), Investment Adviser Agreement (Triton Pacific Investment Corporation, Inc.), Investment Adviser Agreement (Triton Pacific Investment Corporation, Inc.)
Rebates, Kickbacks and Reciprocal Arrangements. (i) The Adviser Advisor agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, restrictions or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
(ii) The Adviser Advisor agrees that it shall not directly or indirectly pay or award any fees or commissions or other compensation to any person or entity engaged to sell shares of Common Stock the Shares or give investment advice to a potential stockholder; provided, however, that this subsection shall not prohibit the payment to a registered broker-dealer or other properly licensed agent of sales commissions for selling or distributing shares of Common StockShares.
Appears in 4 contracts
Samples: Investment Advisory and Administrative Services Agreement (Terra Income Fund 6, Inc.), Investment Advisory and Administrative Services Agreement (Terra Income Fund 6, Inc.), Investment Advisory and Administrative Services Agreement (Terra Income Fund 6, Inc.)
Rebates, Kickbacks and Reciprocal Arrangements. (i) The Adviser agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
(ii) The Adviser agrees that it shall not directly or indirectly pay or award any fees or commissions or other compensation to any person or entity engaged to sell shares of Common Stock Shares or give investment advice to a potential stockholdershareholder; provided, however, that this subsection shall not prohibit the payment to a registered broker-dealer or other properly licensed agent of sales commissions for selling or distributing shares of Common StockShares.
Appears in 3 contracts
Samples: Investment Advisory and Administrative Services Agreement (FS Energy & Power Fund II), Investment Advisory and Administrative Services Agreement (FS Energy & Power Fund II), Investment Advisory and Administrative Services Agreement (FS Energy & Power Fund II)
Rebates, Kickbacks and Reciprocal Arrangements. (i) The Adviser agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
(ii) The Adviser agrees that it shall not directly or indirectly pay or award any fees or commissions or other compensation to any person or entity engaged to sell shares of Common Stock the Corporation’s stock or give investment advice to a potential stockholder; provided, however, that this subsection shall not prohibit the payment to of a registered broker-dealer or other properly licensed agent of from sales commissions for selling or distributing shares of Common Stockthe Corporation’s common stock.
Appears in 3 contracts
Samples: Investment Advisory Agreement (Prospect Flexible Income Fund, Inc.), Investment Advisory Agreement (Prospect Flexible Income Fund, Inc.), Investment Advisory and Management Agreement (Gladstone Lending Corp)
Rebates, Kickbacks and Reciprocal Arrangements. (i) The Adviser Advisor agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, restrictions or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
(ii) The Adviser Advisor agrees that it shall not directly or indirectly pay or award any fees or commissions or other compensation to any person or entity engaged to sell shares of Common Stock the Shares or give investment advice to a potential stockholder; provided, however, that this subsection shall not prohibit the payment to a registered broker-dealer or other properly licensed agent of sales commissions for selling or distributing shares of Common StockShares.
Appears in 2 contracts
Samples: Investment Advisory and Administrative Services Agreement (Terra Income Fund 6, Inc.), Investment Advisory and Administrative Services Agreement (Terra Income Fund 6, Inc.)
Rebates, Kickbacks and Reciprocal Arrangements. (i) The Adviser agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
(ii) The Adviser agrees that it shall not directly or indirectly pay or award any fees or commissions or other compensation to any person or entity engaged to sell shares of the Fund’s Common Stock Shares or give investment advice to a potential stockholdershareholder; provided, however, that this subsection shall not prohibit the payment to a registered broker-dealer or other properly licensed agent of sales commissions for selling or distributing shares of the Fund’s Common StockShares.
Appears in 2 contracts
Samples: Investment Advisory and Administrative Services Agreement (FS Energy & Power Fund), Investment Advisory and Administrative Services Agreement (FS Energy & Power Fund)
Rebates, Kickbacks and Reciprocal Arrangements. Subject to Section 10(j) below,
(i) The Adviser agrees that it shall not not:
(A) receive Receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, ;
(B) participate Participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, or ; or
(C) enter Enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
(ii) The Adviser agrees that it shall not directly or indirectly pay or award any fees or commissions or other compensation to any person or entity engaged to sell shares of Common Stock the Company’s stock or give investment advice to a potential stockholder; provided, however, that this subsection shall not prohibit the payment to of a registered broker-dealer or other properly licensed agent of from sales commissions for selling or distributing shares of Common Stockthe Company’s common stock.
Appears in 2 contracts
Samples: Investment Advisory and Administrative Services Agreement (Age Reversal, Inc.), Investment Advisory and Administrative Services Agreement (Keating Capital Inc)
Rebates, Kickbacks and Reciprocal Arrangements. (i) The Adviser agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
(ii) The Adviser agrees that it shall not directly or indirectly pay or award any fees or commissions or other compensation to any person or entity engaged to sell shares of Common Stock the Company's stock or give investment advice to a potential stockholder; provided, however, that this subsection shall not prohibit the payment to of a registered broker-dealer or other properly licensed agent of from sales commissions for selling or distributing shares of Common Stockthe Company's common stock.
Appears in 2 contracts
Samples: Investment Advisory and Management Services Agreement (Business Development Corp of America), Investment Advisory and Management Services Agreement (Business Development Corp of America)
Rebates, Kickbacks and Reciprocal Arrangements. (i) The Adviser agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
(ii) The Adviser agrees that it shall not directly or indirectly pay or award any fees or commissions or other compensation to any person or entity engaged to sell shares of the Corporation’s Common Stock Shares or give investment advice to a potential stockholder; provided, however, that this subsection shall not prohibit the payment to a registered broker-dealer or other properly licensed agent of sales commissions for selling or distributing shares of the Corporation’s Common StockShares.
Appears in 2 contracts
Samples: Investment Advisory and Administrative Services Agreement (FS Investment Corp II), Investment Advisory and Administrative Services Agreement (FS Investment Corp II)
Rebates, Kickbacks and Reciprocal Arrangements. (i) The Adviser agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
(ii) The Adviser agrees that it shall not directly or indirectly pay or award any fees or commissions or other compensation to any person or entity engaged to sell shares of the Company’s Common Stock Shares or give investment advice to a potential stockholder; provided, however, that this subsection shall not prohibit the payment to of a registered broker-dealer or other properly licensed agent of from sales commissions for selling or distributing shares of the Common StockShares.
Appears in 2 contracts
Samples: Investment Advisory and Administrative Services Agreement (Main Street Capital CORP), Investment Advisory and Administrative Services Agreement (HMS Income Fund, Inc.)
Rebates, Kickbacks and Reciprocal Arrangements. (i) i. The Adviser agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
(ii) . The Adviser agrees that it shall not directly or indirectly pay or award any fees or commissions or other compensation to any person or entity engaged to sell shares of Common Stock the Corporation’s stock or give investment advice to a potential stockholder; provided, however, that this subsection shall not prohibit the payment to of a registered broker-dealer or other properly licensed agent of from sales commissions for selling or distributing shares of Common Stockthe Corporation’s common stock.
Appears in 1 contract
Samples: Investment Advisory Agreement (TP Flexible Income Fund, Inc.)
Rebates, Kickbacks and Reciprocal Arrangements. (i) The Adviser agrees that it shall not (A) receive or accept any rebate, give-up or similar arrangement that is prohibited under applicable federal or state securities laws, (B) participate B)participate in any reciprocal business arrangement that would circumvent provisions of applicable federal or state securities laws governing conflicts of interest or investment restrictions, or (C) enter into any agreement, arrangement or understanding that would circumvent the restrictions against dealing with affiliates or promoters under applicable federal or state securities laws.
(ii) The Adviser agrees that it shall not directly or indirectly pay or award any fees or commissions or other compensation to any person or entity engaged to sell shares of Common Stock the Company’s common stock or give investment advice to a potential stockholdershareholder; provided, however, that this subsection shall not prohibit the payment to a registered broker-dealer or other properly licensed agent of sales commissions for selling or distributing shares of Common Stockthe Company’s common stock.
Appears in 1 contract
Samples: Investment Advisory Agreement (CION Investment Corp)
