Common use of Recordkeeping Clause in Contracts

Recordkeeping. The Dealer Manager agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep such records with respect to each customer who purchases Primary Shares, the customer’s suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.

Appears in 30 contracts

Samples: Dealer Manager Agreement (NorthStar Real Estate Income II, Inc.), Dealer Manager Agreement (NorthStar Healthcare Income, Inc.), Dealer Manager Agreement (NorthStar Healthcare Income, Inc.)

AutoNDA by SimpleDocs

Recordkeeping. The Dealer Manager agrees to comply with the record keeping requirements of the Exchange Act, including including, but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep such records with respect to each customer who purchases Primary Shares, the customer’s suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.

Appears in 16 contracts

Samples: Dealer Manager Agreement (Moody National REIT II, Inc.), Dealer Manager Agreement (Moody National REIT II, Inc.), Dealer Manager Agreement (Moody National REIT II, Inc.)

Recordkeeping. The Dealer Manager agrees to comply with the record keeping requirements of as may be required by the Exchange ActCompany, any state securities commission, FINRA or the SEC, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep such records with respect to each customer who purchases Primary Shares, the customer’s suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.

Appears in 13 contracts

Samples: Dealer Manager Agreement (Jones Lang LaSalle Income Property Trust, Inc.), Dealer Manager Agreement (Jones Lang LaSalle Income Property Trust, Inc.), Dealer Manager Agreement (Jones Lang LaSalle Income Property Trust, Inc.)

Recordkeeping. The Dealer Manager agrees to comply with the record keeping requirements of the Exchange Act, including including, but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep such records with respect to each customer who purchases Primary Offered Shares, the customer’s suitability and the amount of Primary Offered Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the CompanyFund.

Appears in 6 contracts

Samples: Dealer Manager Agreement (Stira Alcentra Global Credit Fund), Dealer Manager Agreement (Stira Alcentra Global Credit Fund), Dealer Manager Agreement (Steadfast Alcentra Global Credit Fund)

Recordkeeping. The Dealer Manager agrees to comply comply, and to require each Participating Dealer to comply, with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep keep, and to require each Participating Dealer to keep, such records with respect to each customer who purchases Primary Shares, the customer’s suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.

Appears in 5 contracts

Samples: Dealer Manager Agreement (Bluerock Enhanced Multifamily Trust, Inc.), Dealer Manager Agreement (Bluerock Enhanced Multifamily REIT, Inc.), Dealer Manager Agreement (Bluerock Enhanced Multifamily Trust, Inc.)

Recordkeeping. The Dealer Manager agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep such records with respect to each customer who purchases Primary Shares, the customer’s suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the CompanyFund.

Appears in 4 contracts

Samples: Dealer Manager Agreement (NorthStar Corporate Income Fund-T), Dealer Manager Agreement (NorthStar Corporate Income Fund), Dealer Manager Agreement (NorthStar Corporate Income Fund-T)

Recordkeeping. The Dealer Manager agrees to comply comply, and to require each Participating Broker-Dealer to comply, with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep keep, and to require each Participating Broker-Dealer to keep, such records with respect to each customer who purchases Primary SharesUnits, the customer’s suitability and the amount of Primary Shares Units sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.

Appears in 3 contracts

Samples: Dealer Manager Agreement (Bluerock Residential Growth REIT, Inc.), Dealer Manager Agreement (Bluerock Residential Growth REIT, Inc.), Dealer Manager Agreement (Bluerock Residential Growth REIT, Inc.)

AutoNDA by SimpleDocs

Recordkeeping. The Dealer Manager agrees to comply comply, and to require each Participating Broker-Dealer to comply, with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep keep, and to require each Participating Broker-Dealer to keep, such records with respect to each customer who purchases Primary Shares, the customer’s suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.

Appears in 2 contracts

Samples: Dealer Manager Agreement (Bluerock Homes Trust, Inc.), Dealer Manager Agreement (Bluerock Residential Growth REIT, Inc.)

Recordkeeping. The Dealer Manager agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep such records with respect to each customer who purchases Primary Shares, the customer’s suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the CompanyTrust.

Appears in 2 contracts

Samples: Dealer Manager Agreement (NorthStar Real Estate Capital Income Fund-T), Dealer Manager Agreement (NorthStar Real Estate Capital Income Fund)

Recordkeeping. The Dealer Manager agrees to comply with the record keeping requirements of the Exchange Act, including but not limited to, Rules 17a-3 and 17a-4 promulgated under the Exchange Act. The Dealer Manager further agrees to keep such records with respect to each customer who purchases Primary Shares, the customer’s suitability and the amount of Primary Shares sold, and to retain such records for such period of time as may be required by the Commission, any state securities commission, FINRA or the Company.

Appears in 1 contract

Samples: Dealer Manager Agreement (NorthStar/RXR New York Metro Income, Inc.)

Draft better contracts in just 5 minutes Get the weekly Law Insider newsletter packed with expert videos, webinars, ebooks, and more!