Reimbursement Policy. The Company, the Dealer Manager and any agents of either, including any of the Dealer Manager’s wholesalers, shall comply in all material respects with (i) all applicable federal and state laws, regulations and rules and the rules of any applicable self-regulatory organization, including but not limited to, FINRA rules and interpretations governing cash and non-cash compensation, (ii) Ameriprise’s policies governing revenue sharing, cash compensation, and non-cash compensation as communicated in writing to the Dealer Manager, and (iii) Ameriprise’s wholesaler reimbursement policy as communicated in writing to the Dealer Manager, as amended from time to time in Ameriprise’s sole discretion provided such policy complies with the rules and regulations of FINRA and the Dealer Manager is notified of any changes to such policy.
Appears in 4 contracts
Samples: Selected Dealer Agreement, Selected Dealer Agreement (CNL Healthcare Properties, Inc.), Selected Dealer Agreement (CNL Properties Trust, Inc.)
Reimbursement Policy. The Company, the Dealer Manager and any agents of either, including any of the Dealer Manager’s 's wholesalers, shall comply in all material respects with (i) all applicable federal and state laws, regulations and rules and the rules of any applicable self-regulatory organization, including but not limited to, FINRA rules and interpretations governing cash and non-cash compensation, (ii) Ameriprise’s 's policies governing revenue sharing, cash compensation, and non-cash compensation as communicated in writing to the Dealer Manager, and (iii) Ameriprise’s 's wholesaler reimbursement policy as communicated in writing to the Dealer Manager, as amended from time to time in Ameriprise’s 's sole discretion provided such policy complies with the rules and regulations of FINRA and the Dealer Manager is notified of any changes to such policy.
Appears in 2 contracts
Samples: Selected Dealer Agreement (KBS Legacy Partners Apartment REIT, Inc.), Selected Dealer Agreement (KBS Real Estate Investment Trust III, Inc.)
Reimbursement Policy. The Company, the Dealer Manager and any agents of either, including any of the Dealer Manager’s 's wholesalers, shall comply in all material respects with (i) all applicable federal and state laws, regulations and rules and the rules of any applicable self-regulatory organization, including but not limited to, FINRA rules and interpretations governing cash and non-cash compensation, (ii) Ameriprise’s Securities America's policies governing revenue sharing, cash compensation, and non-cash compensation as communicated in writing to the Dealer Manager, and (iii) Ameriprise’s Securities America's wholesaler reimbursement policy as communicated in writing to the Dealer Manager, as amended from time to time in Ameriprise’s Securities America's sole discretion provided such policy complies with the rules and regulations of FINRA and the Dealer Manager is notified of any changes to such policy.
Appears in 2 contracts
Samples: Selected Dealer Agreement (KBS Legacy Partners Apartment REIT, Inc.), Selected Dealer Agreement (KBS Real Estate Investment Trust III, Inc.)
Reimbursement Policy. The Company, the Dealer Manager and any agents of either, including any of the Dealer Manager’s wholesalers, shall comply in all material respects with (i) all applicable federal and state laws, regulations and rules and the rules of any applicable self-regulatory organization, including but not limited to, the FINRA rules and interpretations governing cash and non-cash compensationcompensation and the rules of the Municipal Securities Rulemaking Board, (ii) Ameriprise’s policies governing revenue sharing, cash compensation, and non-cash compensation as communicated in writing to the Dealer Managercompensation, current copies of which are available upon request, and (iii) Ameriprise’s wholesaler reimbursement policy as communicated in writing to the Dealer Manager, as amended from time to time in Ameriprise’s sole discretion provided such policy complies with the rules and regulations of FINRA and the Dealer Manager is notified of any changes to such policyFINRA.
Appears in 2 contracts
Samples: Selected Dealer Agreement (Cb Richard Ellis Realty Trust), Selected Dealer Agreement (Cb Richard Ellis Realty Trust)
Reimbursement Policy. The Company, the Dealer Manager and any agents of either, including any of the Dealer Manager’s wholesalers, shall comply in all material respects with (i) all applicable federal and state laws, regulations and rules and the rules of any applicable self-regulatory organization, including but not limited to, FINRA rules and interpretations governing cash and non-cash compensationcompensation and the rules of the Municipal Securities Rulemaking Board, (ii) Ameriprise’s policies governing revenue sharing, cash compensation, and non-cash compensation as communicated in writing to the Dealer Manager, and (iii) Ameriprise’s wholesaler reimbursement policy as communicated in writing to the Dealer Manager, as amended from time to time in Ameriprise’s sole discretion provided such policy complies with the rules and regulations of FINRA and the Dealer Manager is notified of any changes to such policyFINRA.
Appears in 1 contract
Samples: Selected Dealer Agreement (Behringer Harvard Opportunity REIT II, Inc.)
Reimbursement Policy. The Company, the Managing Dealer Manager and any agents of either, including any of the Dealer Manager’s wholesalers, shall comply in all material respects with (i) all applicable federal and state laws, regulations and rules and the rules of any applicable self-regulatory organization, including but not limited to, FINRA rules and interpretations governing cash and non-cash compensationcompensation and the rules of the Municipal Securities Rulemaking Board, (ii) Ameriprise’s policies governing revenue sharing, cash compensation, and non-cash compensation as communicated in writing to the Dealer Managercompensation, current copies of which are available upon request, and (iii) Ameriprise’s wholesaler reimbursement policy as communicated in writing to the Dealer ManagerManaging Dealer, as amended from time to time in Ameriprise’s sole discretion provided such policy complies with the rules and regulations of FINRA and the Dealer Manager is notified of any changes to such policyFINRA.
Appears in 1 contract
Samples: Selected Dealer Agreement (CNL Lifestyle Properties Inc)
Reimbursement Policy. The Company, the Dealer Manager and any agents of either, including any of the Dealer Manager’s wholesalers, shall comply in all material respects with (i) all applicable federal and state laws, regulations and rules and the rules of any applicable self-regulatory organization, including but not limited to, FINRA rules and interpretations governing cash and non-cash compensationcompensation and the rules of the Municipal Securities Rulemaking Board, (ii) Ameriprise’s policies governing revenue sharing, cash compensation, and non-cash compensation as communicated in writing to the Dealer Manager, and (iii) Ameriprise’s wholesaler reimbursement policy as communicated in writing to the Dealer Manager, as amended from time to time in Ameriprise’s sole discretion provided such policy complies with the rules and regulations of FINRA and the Dealer Manager is notified of any changes to such policyFINRA.
Appears in 1 contract
Samples: Selected Dealer Agreement (KBS Real Estate Investment Trust II, Inc.)
Reimbursement Policy. The Company, the Dealer Manager and any agents of either, including any of the Dealer Manager’s wholesalers, shall comply in all material respects with (i) all applicable federal and state laws, regulations and rules and the rules of any applicable self-regulatory organization, including but not limited to, FINRA rules and interpretations governing cash and non-cash compensation, (ii) AmeripriseSecurities America’s policies governing revenue sharing, cash compensation, and non-cash compensation as communicated in writing to the Dealer Manager, and (iii) AmeripriseSecurities America’s wholesaler reimbursement policy as communicated in writing to the Dealer Manager, as amended from time to time in AmeripriseSecurities America’s sole discretion provided such policy complies with the rules and regulations of FINRA and the Dealer Manager is notified of any changes to such policy.
Appears in 1 contract
Samples: Selected Dealer Agreement (KBS Real Estate Investment Trust III, Inc.)
Reimbursement Policy. The Company, the Dealer Manager and any agents of either, including any of the Dealer Manager’s wholesalers, shall comply in all material respects with (i) all applicable federal and state laws, regulations and rules and the rules of any applicable self-regulatory organization, including but not limited to, FINRA rules and interpretations governing cash and non-cash compensation, (ii) Ameriprise’s policies governing revenue sharingmarketing fees, cash compensation, compensation and non-cash compensation as communicated in writing to the Dealer Manager, and (iii) Ameriprise’s wholesaler reimbursement policy as communicated in writing to the Dealer Manager, as amended from time to time in Ameriprise’s sole discretion discretion; provided that such policy complies policies comply with the rules and regulations of FINRA and the Dealer Manager is notified of any changes to such policypolicies.
Appears in 1 contract
Samples: Selected Dealer Agreement (KBS Legacy Partners Apartment REIT, Inc.)
Reimbursement Policy. The Company, the Dealer Manager and any agents of either, including any of the Dealer Manager’s wholesalers, shall comply in all material respects with (i) all applicable federal and state laws, regulations and rules and the rules of any applicable self-regulatory organization, including but not limited to, FINRA rules and interpretations governing cash and non-cash compensationcompensation and the rules of the Municipal Securities Rulemaking Board, (ii) Ameriprise’s policies governing revenue sharing, cash compensation, and non-cash compensation as communicated in writing to the Dealer Managercompensation, current copies of which are available upon request, and (iii) Ameriprise’s wholesaler reimbursement policy as communicated in writing to the Dealer Manager, as amended from time to time in Ameriprise’s sole discretion provided all such policy complies policies comply with the rules and regulations of FINRA and the Dealer Manager is notified of any changes to such policypolicies.
Appears in 1 contract
Samples: Selected Dealer Agreement (Hines Real Estate Investment Trust Inc)
Reimbursement Policy. The Company, the Dealer Manager and any agents of either, including any of the Dealer Manager’s wholesalers, shall comply in all material respects with (i) all applicable federal and state laws, regulations and rules and the rules of any applicable self-regulatory organization, including but not limited to, FINRA rules and interpretations governing cash and non-cash compensationcompensation and the rules of the Municipal Securities Rulemaking Board, (ii) AmeripriseAmeriprise Financial’s policies governing revenue sharing, cash compensation, and non-cash compensation as communicated in writing to the Dealer Manager, and (iii) AmeripriseAmeriprise Financial’s wholesaler reimbursement policy as communicated in writing to the Dealer Manager, as amended from time to time in AmeripriseAmeriprise Financial’s sole discretion provided such policy complies with the rules and regulations of FINRA and the Dealer Manager is notified of any changes to such policy.
Appears in 1 contract
Samples: Selected Dealer Agreement (Behringer Harvard Multifamily Reit I Inc)