Selling Group. MML DISTRIBUTORS may enter into sales agreements for the sale of the Contracts with independent broker-dealer firms ("Independent Brokers") whose registered representatives have been or shall be licensed and appointed as life insurance agents of MassMutual. All such agreements shall be in a form agreed to by MassMutual. All such agreements shall provide that the Independent Brokers must assume full responsibility for continued compliance by itself and its associated persons with the NASD Rules of Fair Practice (the "Rules") and all applicable federal and state securities and insurance laws. All associated persons of such Independent Brokers soliciting applications for the Contracts shall be duly and appropriately licensed and appointed for the sale of the Contracts under the Rules and applicable federal and state securities and insurance laws.
Selling Group. MSD may enter into sales agreements for the sale of the Contracts with independent broker-dealer firms (“Independent Brokers”) whose registered representatives have been or shall be licensed and appointed as life insurance agents of MassMutual. All such agreements shall be in a form agreed to by MassMutual. All such agreements shall provide that the Independent Brokers must assume full responsibility for continued compliance by itself and its associated persons with FINRA rules (the “Rules”) and all applicable federal and state securities and insurance laws. All associated persons of such Independent Brokers soliciting applications for the Contracts shall be duly and appropriately licensed and appointed for the sale of the Contracts under the Rules and applicable federal and state securities and insurance laws.
Selling Group. MMLIS may enter into sales agreements for the sale of the Contracts with independent broker-dealer firms (“Independent Brokers”) whose registered representatives have been or shall be licensed and appointed as life insurance agents of C.M. Life. All such agreements shall be in a form agreed to by C.M. Life. All such agreements shall provide that the Independent Brokers must assume full responsibility for continued compliance by itself and its associated persons with FINRA rules (the “Rules”) and all applicable federal and state securities and insurance laws. All associated persons of such Independent Brokers soliciting applications for the Contracts shall be duly and appropriately licensed and appointed for the sale of the Contracts under the Rules and applicable federal and state securities and insurance laws.
Selling Group. The Dealer Manager shall have the right to associate with other broker/dealers ("BROKER/DEALERS") as it may determine and shall have the right to grant to such persons such concessions out of the commissions to be received by the Dealer Manager as the Dealer Manager may determine, under and pursuant to a Selected Dealer Agreement in the form filed as an exhibit to the Registration Statement. All sales of Shares shall be made as an agent for the Fund.
Selling Group. The Selling Group and each of them will indemnify and hold harmless the Company, each of its directors, each of its officers who signs the registration statement, and any person who controls the Company within the meaning of the Act (or the Exchange Act) for, from and against any losses, claims, damages, or liabilities to which the Company or any such director or officer or controlling person may become subject, under the Act, the Exchange Act, or otherwise, if such losses, claims, damages, or liabilities (or actions in respect hereof) arise solely out of or are based solely on any untrue or alleged untrue statement of a material fact contained in the registration statement and the prospectus or any amendment or supplement thereto, or arise out of or are based upon the omission or alleged omission to state therein a material fact necessary to be stated therein to make the statements therein not misleading, in each case if, and only if, such untrue statement or alleged untrue statement or omission or alleged omission was made in the registration statement or the prospectus or such amendment or supplement in reliance upon and in conformity with written information concerning the Selling Group furnished to the Company by or on behalf of the Selling Group for use in the registration statement and the prospectus or any amendment or supplement thereto, and will reimburse any legal or other expense reasonably incurred by the Company or such director or officer or controlling person in connection with investigating or defending any such loss, claim, damage, liability, or action. This indemnity obligation provided hereunder is in addition to any other liability or obligation which the Selling Group may otherwise have to the Company or which may exist at common law or under any statute.
Selling Group. The Agent hereby reserve the right, subject to the prior approval of the Company, such approval not to be unreasonably withheld, to form a selling group consisting of other registered securities dealers including, with limitation, dealer sub-agents (and which may include Marquest Capital Markets), upon such terms and conditions as the Agent may deem appropriate, provided, however, that any fee charged by such registered securities dealers shall not exceed, and in no event, shall the Company be required to pay in excess of, the Commission as set out herein in Section 19 hereof and shall be payable by the Agent.
Selling Group. MMLD may enter into sales agreements for the sale of the Contracts with independent broker-dealer firms (“Independent Brokers”) whose registered representatives have been or shall be licensed and appointed as life insurance agents of C.M. Life. All such agreements shall be in a form agreed to by C.M. Life. All such agreements shall provide that the Independent Brokers must assume full responsibility for continued compliance by itself and its associated persons with FINRA rules (the “Rules”) and all applicable federal and state securities and insurance laws. All associated persons of such Independent Brokers soliciting applications for the Contracts shall be duly and appropriately licensed and appointed for the sale of the Contracts under the Rules and applicable federal and state securities and insurance laws.
Selling Group. Maxim hereby agrees that the Company shall be entitled to request the addition of an additional selling group participant(s) in connection with the Offering, and upon Maxim’s written consent (which shall not be unreasonably withheld), such selling group participant shall be entitled to contribute to Knightscope’s Regulation A and Regulation D Offerings.
Selling Group. UNDERWRITING FEE Borrower authorizes SBA through its agents to contract for the firm underwritten offering of the Certificates (as that term is defined in the Servicing Agent Agreement, SBA Form 1506) through one or more underwriters (the "Selling Group") and to permit the Selling Group to receive an underwriting fee not to exceed 5/8 of 1% of the total Debenture proceeds.
Selling Group. The Placement Agent may, in its sole discretion, form a selling group and offer Shares for sale through certain other licensed broker-dealers who are members of the NASD upon (i) the receipt of the Company's written consent, which shall not be unreasonably withheld, and (ii) delivery to the Company of a verified statement executed under penalty of perjury by such licensed broker-dealer making the representations and warranties and covenants set forth in Section 3 and Section 6 of this Agreement. Except as set forth in this Section 4.5, the Placement Agent shall not appoint or employ any person or entity as its agent or utilize the services of any other broker or dealer to participate in the Offering as a soliciting or participating broker or dealer or otherwise. Any broker-dealer appointed or employed by the Placement Agent shall be appointed or employed solely at the expense of the Placement Agent. The Company shall have no liability to such persons, and the Placement Agent shall indemnify and hold the Company harmless therefrom. Subject to the limitations in the preceding sentence and any Legal Requirement, the Placement Agent may assign any portion of its commission payable under this Agreement to any agent, broker, or dealer (to the extent allowed by the Legal Requirements) by providing the Company with written notice of assignment stating the portion of the commission to be paid and the name, address, phone number and tax identification number of the party to whom the assignment is made.
