Direct Participation definition
Examples of Direct Participation in a sentence
In offering Units, Dealer will comply with the provisions of the NASD Conduct Rules, including the provisions in Rule 2810 that apply to Direct Participation Programs, as well as all other applicable rules and regulations relating to suitability of investors, including without limitation, the provisions of Article III.C. of the Statement of Policy Regarding Real Estate Programs of the North American Securities Administrators Association, Inc.
In offering Units, the Dealer will comply with the provisions of the NASD Conduct Rules, including the provisions in Rule 2810 that apply to Direct Participation Programs, set forth in the NASD Manual, as well as all other applicable rules and regulations relating to suitability of investors, including without limitation, the provisions of Article III.C. of the Statement of Policy Regarding Real Estate Programs of the North American Securities Administrators Association, Inc.
The Dealer Manager also hereby agrees to abide by the NASD Conduct Rules, including, but not limited to, Rules 2730, 2740, 2420 and 2750, and the provisions in Rule 2810 that apply to Direct Participation Programs.
The Dealer also hereby agrees to comply with the Conduct Rules of the NASD, including but not limited to Rules 2730, 2740, 2420 and 2750, and the provisions in Rule 2810 that apply to Direct Participation Programs.
The Company acknowledges that the Offering constitutes a Direct Participation Program under FINRA rules and agrees to take all such actions as shall be necessary for the Dealer Manager’s compliance with FINRA rules and regulations applicable to its participation in the Offering.
The Selected Dealer also hereby agrees to abide by the rules of FINRA, including, without limitation, FINRA Rules 2040 (Payments to Unregistered Persons), 2111 (Suitability), 2121 (Fair Prices and Commissions), 2310 (Direct Participation Programs), 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) and 5141 (Sale of Securities in a Fixed Price Offering).
Except where explicitly defined herein, the definitions controlling this Agreement are contained in PG&E’s Rule 1, Definitions, and/or Rule 24, Direct Participation Demand Response.
In offering Shares, the Dealer will comply with the provisions of the FINRA Conduct Rules, including the provisions in Rule 2810 that apply to Direct Participation Programs, set forth in the FINRA Manual, as well as all other applicable rules and regulations relating to suitability of investors, including without limitation, the provisions of Article III.C. of the Statement of Policy Regarding Real Estate Investment Trusts of the North American Securities Administrators Association, Inc.
Except where explicitly defined herein, the definitions controlling this Agreement are contained in SCE’s Rule 1, Definitions, and/or Rule 24, Direct Participation Demand Response.
The Company acknowledges that the Offering constitutes a Direct Participation Program under FINRA rules and agrees to take all such actions (including the provision of information required for customer account statements) as shall be necessary for the Dealer Manager’s compliance with FINRA rules and regulations applicable to its participation in the Offering.