375 Park Associates works on a fee-for-service and agreement to engage our team requires the deposit of a non-refundable retainer fee, which shall be credited against any fees payable.

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M&A BROKER REPRESENTATION

 

375 PARK ASSOCIATES represents and warrants that it is an ‘M&A Broker’ as defined in the U.S. Securities and Exchange Commission (SEC) No-Action Letter regarding M&A Brokers, dated 31 January 2014 (revised 4 February 2014), and that to the best of our knowledge, the transactions listed above fit the definition of an ‘M&A Transaction’ in the aforementioned letter.

 

We further represent to comply with the terms described in the aforementioned letter, including:

 

1. Having no power to bind seller, to provide financing, or to gain custody of Transaction funds;

2. Ensuring disclosure of any parties represented by Finder and any related compensation arrangements;

3. Representing that no employees of Finder have been barred or suspended by the SEC, any state regulator, or self-regulating body.

 

Services for securities transactions are provided independently through FINRA/SIPC registered broker-dealers.