Common use of Securities Matters Clause in Contracts

Securities Matters. There has not been (i) any request by the Commission for any further amendment to the Registration Statement or the Prospectus or for any additional information, (ii) any issuance by the Commission of any stop order suspending the effectiveness of the Registration Statement or the institution or, to the Company’s knowledge, threat of any proceeding for that purpose, or (iii) any notification with respect to the suspension of the qualification of the Shares for sale in any jurisdiction or any initiation or, to the Company’s knowledge, threat of any proceeding for such purpose. The Company is in compliance in all material respects with all federal and state securities laws, rules and regulations applicable to it and its activities, including, without limitation, with respect to the Offering and the sale of the Shares.

Appears in 78 contracts

Samples: Dealer Manager Agreement (Bluerock Homes Trust, Inc.), Dealer Manager Agreement (Bluerock Residential Growth REIT, Inc.), Exclusive Dealer Manager Agreement (American Realty Capital New York City REIT II, Inc.)

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Securities Matters. There has not been been: (i) any request by the Commission for any further amendment to the Registration Statement or the Prospectus or for any additional information, ; (ii) any issuance by the Commission of any stop order suspending the effectiveness of the Registration Statement or the institution or, to the Company’s knowledge, threat of any proceeding for that purpose, or ; or (iii) any notification with respect to the suspension of the qualification of the Shares for sale in any jurisdiction or any initiation or, to the Company’s knowledge, threat of any proceeding for such purpose. The Company is in compliance in all material respects with all federal and state securities laws, rules and regulations applicable to it and its activities, including, without limitation, with respect to the Offering and the sale of the Shares.

Appears in 23 contracts

Samples: Dealer Manager Agreement (Braemar Hotels & Resorts Inc.), Dealer Manager Agreement (Terra Income Fund 6, Inc.), Dealer Manager Agreement (Terra Income Fund 6, Inc.)

Securities Matters. There has not been (i) any request by the Commission for any further amendment to the Registration Statement or the Prospectus or for any additional information, (ii) any issuance by the Commission of any stop order suspending the effectiveness of the Registration Statement or the institution or, to the Company’s knowledge, threat of any proceeding for that purpose, or (iii) any notification with respect to the suspension of the qualification of the Shares Units for sale in any jurisdiction or any initiation or, to the Company’s knowledge, threat of any proceeding for such purpose. The Company is in compliance in all material respects with all federal and state securities laws, rules and regulations applicable to it and its activities, including, without limitation, with respect to the Offering and the sale of the SharesUnits.

Appears in 17 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.)

Securities Matters. There has not been (i) any request by the Commission for any further amendment to the Registration Statement or the Prospectus or for any additional information, (ii) any issuance by the Commission of any stop order suspending the effectiveness of the Registration Statement or the institution or, to the Company’s knowledge, threat of any proceeding for that purpose, or (iii) any notification with respect to the suspension of the qualification of the Common Shares for sale in any jurisdiction or any initiation or, to the Company’s knowledge, threat of any proceeding for such purpose. The Company is in compliance in all material respects with all federal and state securities laws, rules and regulations applicable to it and its activities, including, without limitation, with respect to the Offering and the sale of the Common Shares.

Appears in 8 contracts

Samples: Dealer Manager Agreement (Lightstone Real Estate Income Trust Inc.), Dealer Manager Agreement (Lightstone Value Plus Real Estate Investment Trust III, Inc.), Dealer Manager Agreement (Lightstone Real Estate Income Trust Inc.)

Securities Matters. There has not been been: (i) any request by the Commission for any further amendment to the Registration Statement or the Prospectus or for any additional information, ; (ii) any issuance by the Commission of any stop order suspending the effectiveness of the Registration Statement or the institution or, to the Company’s knowledge, threat of any proceeding for that purpose, or ; or (iii) any notification with respect to the suspension of the qualification of the Shares Units for sale in any jurisdiction or any initiation or, to the Company’s knowledge, threat of any proceeding for such purpose. The Company is in compliance in all material respects with all federal and state securities laws, rules and regulations applicable to it and its activities, including, without limitation, with respect to the Offering and the sale of the SharesUnits.

Appears in 6 contracts

Samples: Dealer Manager Agreement (Investment Grade R.E. Income Fund, L.P.), Dealer Manager Agreement (GWG Holdings, Inc.), Dealer Manager Agreement

Securities Matters. There has not been (i) any request by the Commission for any further amendment to the Registration Statement or the Prospectus or for any additional information, (ii) any issuance by the Commission of any stop order suspending the effectiveness of the Registration Statement or the institution or, to the CompanyTrust’s knowledge, threat of any proceeding for that purpose, or (iii) any notification with respect to the suspension of the qualification of the Shares for sale in any jurisdiction or any initiation or, to the CompanyTrust’s knowledge, threat of any proceeding for such purpose. The Company Trust is in compliance in all material respects with all federal and state securities laws, rules and regulations applicable to it and its activities, including, without limitation, with respect to the Offering and the sale of the Shares.

Appears in 5 contracts

Samples: Exclusive Dealer Manager Agreement (United Development Funding Income Fund V), Exclusive Dealer Manager Agreement (United Development Funding Income Fund V), Exclusive Dealer Manager Agreement (RCS Capital Corp)

Securities Matters. There has not been (i) any request by the Commission for any further amendment to the Registration Statement or the Prospectus or for any additional information, (ii) any issuance by the Commission of any stop order suspending the effectiveness of the Registration Statement or the institution any initiation or, to the Company’s knowledge, threat of any proceeding for that purpose, or (iii) any notification with respect to the suspension of the qualification of the Shares for sale in any jurisdiction or any initiation or, to the Company’s knowledge, threat of any proceeding for such purpose. The Company is in compliance in all material respects with all federal and state securities laws, rules and regulations applicable to it and its activities, including, without limitation, with respect to the Offering and the sale of the Shares.

Appears in 3 contracts

Samples: Exclusive Dealer Manager Agreement (BUSINESS DEVELOPMENT Corp OF AMERICA II), Exclusive Dealer Manager Agreement (BUSINESS DEVELOPMENT Corp OF AMERICA II), Exclusive Dealer Manager Agreement (BDCA Senior Capital, Inc.)

Securities Matters. There has not been been: (i) any request by the Commission for any further amendment to the Registration Statement or the Prospectus or for any additional information, ; (ii) any issuance by the Commission of any stop order suspending the effectiveness of the Registration Statement or the institution or, to the Company’s knowledge, threat of any proceeding for that purpose, or ; or (iii) any notification with respect to the suspension of the qualification of the Shares Preferred Stock for sale in any jurisdiction or any initiation or, to the Company’s knowledge, threat of any proceeding for such purpose. The Company is in compliance in all material respects with all federal and state securities laws, rules and regulations applicable to it and its activities, including, without limitation, with respect to the Offering and the sale of the SharesPreferred Stock.

Appears in 3 contracts

Samples: Dealer Manager Agreement (Prospect Capital Corp), Dealer Manager Agreement (Prospect Capital Corp), Dealer Manager Agreement (Preferred Apartment Communities Inc)

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Securities Matters. There has not been been: (i) any request by the Commission for any further amendment to the Registration Statement or the Prospectus or for any additional information, ; (ii) any issuance by the Commission of any stop order suspending the effectiveness of the Registration Statement or the institution or, to the Company’s knowledge, threat of any proceeding for that purpose, or ; or (iii) any notification with respect to the suspension of the qualification of the Shares for sale in any jurisdiction or any initiation or, to the Company’s knowledge, threat of any proceeding for such purpose. The Company is in compliance in all material respects with all federal and state securities laws, rules and regulations applicable to it and its activities, including, without limitation, activities with respect to the Offering and the sale of the Shares.

Appears in 2 contracts

Samples: Dealer Manager Agreement (Ashford Hospitality Trust Inc), Dealer Manager Agreement (NexPoint Real Estate Finance, Inc.)

Securities Matters. There has not been (i( i ) any request by the Commission for any further amendment to the Registration Statement or the Prospectus or for any additional information, (ii( ii ) any issuance by the Commission of any stop order suspending the effectiveness of the Registration Statement or the institution or, to the Company’s knowledge, threat of any proceeding for that purpose, or (iii( iii ) any notification with respect to the suspension of the qualification of the Shares for sale in any jurisdiction or any initiation or, to the Company’s knowledge, threat of any proceeding for such purposepurpose . The Company is in compliance in all material respects with all federal and state securities laws, rules and regulations applicable to it and its activities, including, without limitation, with respect to the Offering and the sale of the Shares.

Appears in 2 contracts

Samples: Exclusive Dealer Manager Agreement (RCS Capital Corp), Exclusive Dealer Manager Agreement (American Realty Capital Daily Net Asset Value Trust, Inc.)

Securities Matters. There has not been been: (i) any request by the Commission for any further amendment to the Registration Statement or the Prospectus or for any additional information, ; (ii) any issuance by the Commission of any stop order suspending the effectiveness of the Registration Statement or the institution or, to the Company’s knowledge, threat of any proceeding for that purpose, or ; or (iii) any notification with respect to the suspension of the qualification of the Shares mShares for sale in any jurisdiction or any initiation or, to the Company’s knowledge, threat of any proceeding for such purpose. The Company is in compliance in all material respects with all federal and state securities laws, rules and regulations applicable to it and its activities, including, without limitation, with respect to the Offering and the sale of the SharesmShares.

Appears in 1 contract

Samples: Dealer Manager Agreement (Preferred Apartment Communities Inc)

Securities Matters. There has not been (i) any request by the Commission for any further amendment to the Registration Statement or the Prospectus or for any additional information, (ii) any issuance by the Commission of any stop order suspending the effectiveness of the Registration Statement or the institution or, to the Company’s knowledge, threat of any proceeding for that purpose, or (iii) any notification with respect to the suspension of the qualification of the Shares Units for sale in any jurisdiction or any initiation or, to the Company’s knowledge, threat of any proceeding for such purpose. The Company is in compliance in all material respects with all federal and state securities laws, rules and regulations applicable to it and its activities, including, without limitation, with respect to the Offering and the sale of the Shares.Units. 2 (e)

Appears in 1 contract

Samples: Exclusive Dealer Manager Agreement

Securities Matters. There has not been (i) any request by the Commission for any further amendment to the Registration Statement or the Prospectus or for any additional 2 information, (ii) any issuance by the Commission of any stop order suspending the effectiveness of the Registration Statement or the institution or, to the Company’s knowledge, threat of any proceeding for that purpose, or (iii) any notification with respect to the suspension of the qualification of the Shares Units for sale in any jurisdiction or any initiation or, to the Company’s knowledge, threat of any proceeding for such purpose. The Company is in compliance in all material respects with all federal and state securities laws, rules and regulations applicable to it and its activities, including, without limitation, with respect to the Offering and the sale of the SharesUnits.

Appears in 1 contract

Samples: Exclusive Dealer Manager Agreement

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