FINRA Rules Clause Samples
The FINRA Rules clause establishes that the agreement and the parties' conduct are subject to the regulations and standards set by the Financial Industry Regulatory Authority (FINRA). This means that any disputes, transactions, or activities governed by the agreement must comply with FINRA's requirements, such as those related to fair dealing, disclosure, and arbitration procedures. By referencing FINRA Rules, the clause ensures that industry best practices are followed and provides a clear framework for resolving conflicts and maintaining regulatory compliance.
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FINRA Rules. Notwithstanding the foregoing or anything contained herein to the contrary, in no event shall the Company pay or give or cause to be paid or given any compensation or incentives in excess of amounts permitted under applicable FINRA rules or published guidance. The Managing Dealer agrees that all payments to a Participating Broker-Dealer (or a designated Approved Finder/Consultant) shall be made in compliance with applicable law.
FINRA Rules. In accordance with applicable FINRA Rules, the parties understand and agree that, pursuant to limitations imposed by FINRA, no payments will be made to Dealer under this Agreement to the extent payments made to Dealer and any other FINRA member, together with any other amounts deemed by FINRA to be underwriting compensation in connection with this Offering, exceed, in the aggregate, the amounts permissible pursuant to FINRA Rule 2310.
FINRA Rules. Notwithstanding anything contained in this Warrant, the terms of this Warrant are intended to comply with the rules and regulations of the Financial Industry Regulatory Authority, Inc. relating to the compensation of underwriters and placement agents, and any provision of this Warrant that is determined to be inconsistent with such rules shall be deemed to be modified to the extent necessary to comply with such rules.
FINRA Rules. Notwithstanding the foregoing or anything contained herein to the contrary, in no event shall the Company pay or give or cause to be paid or given any compensation or incentives in excess of amounts permitted under applicable FINRA rules or published guidance.
FINRA Rules. Each party acknowledges and agrees to be bound by the Financial Industry Regulatory Authority, Inc. Rules applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.
FINRA Rules. The parties acknowledge and agree that applicable FINRA Rules limit the amount of compensation that may be received in respect of distribution and member services and that such limits may serve to, over time, prohibit the payment of the compensation set forth in Section 4(a) and 4(c) of this Agreement in accordance with Section 1(c) of this Agreement. In accordance with applicable FINRA Rules, the parties understand and agree that, pursuant to limitations imposed by FINRA, no payments will be made to Dealer (pursuant to this Agreement or otherwise) and any other FINRA member exceeding, in aggregate, 2.92% of the total price to the public of Units sold pursuant to a Non-FB Fund's current registration statement on Form N-2 (the "Offering Proceeds") in respect of upfront sales loads (which, for the avoidance of doubt, is the equivalent of 3.00% of the net asset value of such Units) and 4.88% of the Offering Proceeds in respect of ongoing asset-based distribution fees. Distributor agrees to monitor the amount of underwriting compensation paid in connection with the distribution of Non-FB Fund Units and the rendering to investors in the Non-FB Funds of ongoing investor and account maintenance services, and to report thereon to Dealer no less frequently than quarterly. As used herein, "underwriting compensation" means all amounts included as underwriting compensation under FINRA Rule 5110 other than any sales loads charged in connection with the sale of Non-FB Fund Units. Dealer agrees to provide a report to Distributor no less frequently than quarterly, in a form reasonably acceptable to Distributor, addressing the amount of any sales loads charged in connection with the sale of Non-FB Fund Units.
FINRA Rules. Dealer will comply with all applicable rules set forth in the FINRA rulebook (the “FINRA Rules”).
FINRA Rules. The parties acknowledge and agree that applicable FINRA Rules limit the amount of compensation that may be received in respect of distribution and member services and that such limits may serve to, over time, prohibit the payment of the compensation set forth in Section 4(c) of this Agreement in accordance with Section 1(c) of this Agreement. The parties understand and agree that, pursuant to limitations on compensation imposed by FINRA, aggregate compensation received by
FINRA Rules. The parties acknowledge and agree that applicable FINRA Rules limit the amount of compensation that may be received in respect of distribution and member services and that such limits may serve to, over time, prohibit the payment of the compensation set forth in Section 4(c) of this Agreement in accordance with Section 1(c) of this Agreement. The parties understand and agree that, pursuant to limitations on compensation imposed by FINRA, aggregate compensation received by