Selling Group Member Representations. 1.1 You hereby confirm that you (i) are a member in good standing of the Financial Industry Regulatory Authority, Inc. (“FINRA”), (ii) are qualified and duly registered to act as a broker-dealer within all states in which you will sell the Bonds, (iii) are a broker-dealer duly registered with the SEC pursuant to the Securities Exchange Act of 1934, as amended (the “Exchange Act”) and (iv) will maintain all such registrations and qualifications in good standing for the duration of your involvement in the Offering. You agree to immediately notify the Managing Broker-Dealer if you cease to be a member of FINRA in good standing.
Appears in 11 contracts
Samples: Broker Dealer/Underwriter Agreement (Red Oak Capital Intermediate Income Fund, LLC), MBD Agreement (Red Oak Capital Fund V, LLC), Red Oak Capital Fund VII, LLC
Selling Group Member Representations. 1.1 You hereby confirm that you (i) are a member in good standing of the Financial Industry Regulatory Authority, Inc. (“FINRA”), (ii) are qualified and duly registered to act as a broker-dealer within all states in which you will sell the BondsShares, (iii) are a broker-dealer duly registered with the SEC pursuant to the Securities Exchange Act of 1934, as amended (the “Exchange Act”) ), and (iv) will maintain all such registrations and qualifications in good standing for the duration of your involvement in the Offering. You agree to immediately notify the Managing Broker-Dealer if you cease to be a member of FINRA in good standing.
Appears in 7 contracts
Samples: Soliciting Dealer Agreement (Cottonwood Multifamily Opportunity Fund, Inc.), Soliciting Dealer Agreement (Cottonwood Multifamily Development REIT I, Inc.), Soliciting Dealer Agreement (Cottonwood Multifamily Reit Ii, Inc.)
Selling Group Member Representations. 1.1 You hereby confirm that you (i) are a member in good standing of the Financial Industry Regulatory Authority, Inc. (“FINRA”), (ii) are qualified and duly registered to act as a broker-dealer within all states in which you will sell the Bonds, (iii) are a broker-dealer duly registered with the SEC Securities and Exchange Commission (the “SEC”) pursuant to the Securities Exchange Act of 1934, as amended (the “Exchange Act”) and (iv) will maintain all such registrations and qualifications in good standing for the duration of your involvement in the Offering. You agree to immediately notify the Managing Broker-Dealer if you cease to be a member of FINRA in good standing.
Appears in 1 contract
Samples: Soliciting Dealer Agreement (Red Oak Capital Fund II, LLC)
