Managing Broker. Dealer is a broker-dealer registered with the Securities and Exchange Commission under the Exchange Act, is a member in good standing of FINRA, and is registered and/or qualified to act in each jurisdiction in which it is required to be registered and/or qualified to conduct its business and to perform its obligations under this Agreement.
Appears in 1 contract
Sources: Managing Broker Dealer Agreement (Ministry Partners Investment Company, LLC)
Managing Broker. Dealer is a broker-dealer registered with the Securities and Exchange Commission under the Exchange Act, is a member in good standing of FINRA, and is registered and/or qualified to act in each jurisdiction in which it is required to be registered and/or qualified to conduct its business and to perform its obligations under this Agreement..
Appears in 1 contract
Sources: Selling Agreement (Ministry Partners Investment Company, LLC)