That Participating Broker. Dealer will maintain a copy (the “Record”) of each Electronic Signature used to execute a transaction and/or request for the life of the account and a minimum of seven years after the account is closed, or for such longer period as any law, rule or regulation may require. Participating Broker-Dealer will provide such Record to the Corporation and/or the Dealer Manager upon request. Supporting documentation for the use of any Electronic Signature will be maintained and available to the Corporation and/or the Dealer Manager upon request. Participating Broker-Dealer will maintain all Records in accordance with applicable recordkeeping obligations under state and federal securities laws and regulations and all applicable FINRA rules and regulations.
Appears in 5 contracts
Samples: Dealer Manager Agreement (Owl Rock Core Income Corp.), Participating Broker Dealer Agreement (Owl Rock Capital Corp II), Participating Broker Dealer Agreement (Owl Rock Capital Corp II)
That Participating Broker. Dealer will maintain a copy (the “Record”) of each Electronic Signature used to execute a transaction and/or request for the life of the account and a minimum of seven years after the account is closed, or for such longer period as any law, rule or regulation may require. Participating Broker-Dealer will provide such Record to the Corporation Company and/or the Dealer Manager upon request. Supporting documentation for the use of any Electronic Signature will be maintained and available to the Corporation Company and/or the Dealer Manager upon request. Participating Broker-Dealer will maintain all Records in accordance with applicable recordkeeping obligations under state and federal securities laws and regulations and all applicable FINRA rules Rules and regulations.
Appears in 3 contracts
Samples: Participating Broker Dealer Agreement (Fortress Credit Realty Income Trust), Participating Broker Dealer Agreement (Fortress Credit Realty Income Trust), Participating Broker Dealer Agreement (Fortress Net Lease REIT)
That Participating Broker. Dealer will maintain a copy (the “Record”) of each Electronic Signature used to execute a transaction and/or request for the life of the account and a minimum of seven years after the account is closed, or for such longer period as any law, rule or regulation may require. Participating Broker-Dealer will provide such Record to the Corporation Fund and/or the Dealer Manager upon request. Supporting documentation for the use of any Electronic Signature will be maintained and available to the Corporation Fund and/or the Dealer Manager upon request. Participating Broker-Dealer will maintain all Records in accordance with applicable recordkeeping obligations under state and federal securities laws and regulations and all applicable FINRA rules and regulations.
Appears in 3 contracts
Samples: Distribution Agreement (Eagle Point Enhanced Income Trust), Dealer Manager Agreement (Eagle Point Institutional Income Fund), Dealer Manager Agreement (Eagle Point Institutional Income Fund)
