ACCEPTED BY DEALER Sample Clauses

ACCEPTED BY DEALER. Provider: Clearing #: ---------------------------- ----------------------- Broker Dealer Tax I.D. #: NSCC Alpha Code: ------------ ------------------ Address: Trading Contact Name: ----------------------------- ------------- City: -------------------------------- State: Zip Code: Telephone #: ---------------- ----- ---------------------- By: E-Mail: ---------------------------------- ---------------------- Authorized Signatory Name: -------------------------------- Printed Title: ------------------------------- UNIFIED FINANCIAL SECURITIES, INC. 000 Xxxxx Xxxxxxxxxxxx Xxxxxx Xxxxxxxxxxxx, Xxxxxxx 00000 By: ---------------------------------- Name: -------------------------------- Title: ------------------------------- Date: -------------------------------- Exhibit A --------- Portfolios
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ACCEPTED BY DEALER. Dealer accepts its appointment as an authorized HUMMER(R) Dealer and shall:
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ACCEPTED BY DEALER. BY: ----------------------------- AUTHORIZED SIGNATURE LADENBURG XXXXXXXX & INC. BY: -------------------------------- --------------------------------- TYPE OR PRINT NAME, POSITION -------------------------------- ------------------------------------ DEALER NAME DATE -------------------------------- ADDRESS -------------------------------- ADDRESS -------------------------------- PHONE -------------------------------- DATE August 2004 A SHARES DEALER SALES LOAD AS % OF REALLOWANCE PUBLIC NET AS % OF OFFERING AMOUNT PUBLIC AMOUNT OF INVESTMENT PRICE INVESTED OFFERING PRICE -------------------- ----------- ----------- -------------- Less than $50,000 5.00% 5.25% 4.50% $50,000 but less than $100,000 4.50% 4.72% 4.00% $100,000 but less than $250,000 3.50% 3.63% 3.00% $250,000 but less than $500,000 2.95% 3.04% 2.70% $500,000 but less than $1,000,000 2.25% 2.31% 2.00% $1,000,000 or more None(a) None(a) None C SHARES (WHEN AVAILABLE) DEALER SALES LOAD AS % OF REALLOWANCE PUBLIC NET AS % OF OFFERING AMOUNT PUBLIC AMOUNT OF INVESTMENT PRICE INVESTED OFFERING PRICE -------------------- ----------- ----------- -------------- Less than $50,000 None(b) None(b) 1.00% $50,000 but less than $100,000 None(b) None(b) 1.00% $100,000 but less than $250,000 None(b) None(b) 1.00% $250,000 but less than $500,000 None(b) None(b) 1.00% $500,000 but less than $1,000,000 None(b) None(b) 1.00% $1,000,000 or more None(b) None(b) 1.00% F SHARES (WHEN AVAILABLE) DEALER SALES LOAD AS % OF REALLOWANCE PUBLIC NET AS % OF OFFERING AMOUNT PUBLIC AMOUNT OF INVESTMENT PRICE INVESTED OFFERING PRICE -------------------- ----------- ----------- -------------- Less than $50,000 None None None $50,000 but less than $100,000 None None None $100,000 but less than $250,000 None None None $250,000 but less than $500,000 None None None $500,000 but less than $1,000,000 None None None $1,000,000 or more None None None
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ACCEPTED BY DEALER. By:----------------------- Authorized Signature ----------------------------- Type or Print Name, Position ----------------------------- Dealer Name ----------------------------- Address ----------------------------- Address ----------------------------- Phone ----------------------------- Date LADENBURG XXXXXXXX & CO. INC. By:------------------------- Date------------------------
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ACCEPTED BY DEALER. By:__________________________________________ Authorized Signature ------------------------------------------------ Type or Print Name, Position ------------------------------------------------ Dealer Name ------------------------------------------------ Address ------------------------------------------------ Address ------------------------------------------------ Phone ------------------------------------------------ Date ALPHA-OMEGA CAPITAL CORP. By: ____________________________________________ DATE: APRIL 21, 1997 THE CAROLINASFUND - INVESTOR SHARES CUSIP# 565543204 THE MISSIXXXXXX XXPORTUNITY FUND - CLASS A CUSIP# 565543501 Total Dollar Amount of Purchase Sales Dealer (At Offering Price) Charge* Concession Less than $100,000 3.50% 3.00% $100,000 but less than $250,000 3.00% 2.50% $250,000 but less than $500,000 2.50% 2.00% $500,000 or more None None 50 basis points annual trailing commission, effective immediately, paid quarterly. THE CAROLINASFUND - INSTITUTIONAL SHARES CUSIP# 565543709 No front-end load, xx xxxxxing commission. THE MISSISSIPPI OPPORTUNITY FUND - CLASS C CUSIP# 565543600 No front-end load, 000 xxxxs points annual trailing commission, effective immediately, paid quarterly. Brokers may invest for their own account at NAV. *As a percentage of offering price.
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Related to ACCEPTED BY DEALER

  • Confirmation by Dealer Dealer must provide written confirmation to the Fund that instructions have been executed. Dealer agrees to provide confirmation as soon as reasonably practicable, but not later than ten business days after the instructions have been executed.

  • Designation by Dealer Notwithstanding any other provision in this Confirmation to the contrary requiring or allowing Dealer to purchase, sell, receive or deliver any Shares or other securities to or from Counterparty, Dealer may designate any of its affiliates to purchase, sell, receive or deliver such Shares or other securities and otherwise to perform Dealer’s obligations in respect of the Transaction and any such designee may assume such obligations. Dealer shall be discharged of its obligations to Counterparty only to the extent of any such performance.

  • Payment by Dealer In the event that (i) an Early Termination Date occurs or is designated with respect to the Transaction as a result of a Termination Event or an Event of Default (other than an Event of Default arising under Section 5(a)(ii) or 5(a)(iv) of the Agreement) and, as a result, Dealer owes to Company an amount calculated under Section 6(e) of the Agreement, or (ii) Dealer owes to Company, pursuant to Section 12.7 or Section 12.9 of the Equity Definitions, an amount calculated under Section 12.8 of the Equity Definitions, such amount shall be deemed to be zero.

  • Selection of Brokers and Dealers To the extent permitted by the policy guidelines set forth in the Fund's current registration statement, in the selection of brokers and dealers to execute portfolio transactions, the Subadviser is authorized to consider not only the available prices and rates of brokerage commissions, but also other relevant factors, which may include, without limitation: the execution capabilities of the brokers and dealers; the research, custody, and other services provided by the brokers and dealers that the Subadviser believes will enhance the Subadviser's general portfolio management capabilities; the size of the transaction; the difficulty of execution; the operational facilities of these brokers and dealers; the risk to this broker or dealer of positioning a block of securities; and the overall quality of brokerage and research services provided by these brokers and dealers. In connection with the foregoing, the Subadviser is specifically authorized to pay those brokers and dealers who provide brokerage and research services to the Subadviser, a higher commission than that charged by other brokers and dealers if the Subadviser determines in good faith that the amount of the commission is reasonable in relation to the value of these services in terms of either the particular transaction or in terms of the Subadviser's overall responsibilities with respect to the Portfolio Segment and to any other client accounts or portfolios that the Subadviser advises. The execution of these transactions shall not be considered to represent an unlawful breach of any duty created by this Agreement or otherwise.

  • Notice to the Underwriter The Company will advise the Underwriter promptly, and confirm such advice in writing, (i) when the Registration Statement has become effective; (ii) when any amendment to the Registration Statement has been filed or becomes effective; (iii) when any supplement to the Prospectus or any Issuer Free Writing Prospectus or any amendment to the Prospectus has been filed; (iv) of any request by the Commission for any amendment to the Registration Statement or any amendment or supplement to the Prospectus or the receipt of any comments from the Commission relating to the Registration Statement or any other request by the Commission for any additional information; (v) of the issuance by the Commission of any order suspending the effectiveness of the Registration Statement or preventing or suspending the use of any Preliminary Prospectus, any of the Pricing Disclosure Package or the Prospectus or the initiation or threatening of any proceeding for that purpose or pursuant to Section 8A of the Securities Act; (vi) of the occurrence of any event within the Prospectus Delivery Period as a result of which the Prospectus, the Pricing Disclosure Package or any Issuer Free Writing Prospectus as then amended or supplemented would include any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances existing when the Prospectus, the Pricing Disclosure Package or any such Issuer Free Writing Prospectus is delivered to a purchaser, not misleading; (vii) of the receipt by the Company of any notice of objection of the Commission to the use of the Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act; and (viii) of the receipt by the Company of any notice with respect to any suspension of the qualification of the Shares for offer and sale in any jurisdiction or the initiation or threatening of any proceeding for such purpose; and the Company will use its best efforts to prevent the issuance of any such order suspending the effectiveness of the Registration Statement, preventing or suspending the use of any Preliminary Prospectus, any of the Pricing Disclosure Package or the Prospectus or suspending any such qualification of the Shares and, if any such order is issued, will obtain as soon as possible the withdrawal thereof.

  • Offering of Shares by the Underwriters Upon authorization by the Representatives of the release of the Firm Shares, the several Underwriters propose to offer the Firm Shares for sale upon the terms and conditions to be set forth in the Prospectus.

  • Offering by the Underwriter It is understood that the Underwriter proposes to offer the Offered Certificates of the related Series for sale to the public as set forth in the related Prospectus.

  • Key Deal Points You are the exclusive, unencumbered owner of the Asset(s), and you have honestly and accurately represented the Asset(s) to the best of your knowledge and ability. §We have agreed with you to a purchase price and form of consideration to be paid for each Asset, as outlined below. §For a period of time from the date of this Purchase Agreement (the “Period”), you grant us the exclusive right to purchase the Asset(s).

  • PROMOTION OF DEALER MANAGER RELATIONSHIP The Company and the Dealer Manager will cooperate with each other in good faith in connection with the promotion or advertisement of their relationship in any release, communication, sales literature or other such materials and shall not promote or advertise their relationship without the approval of the other party in advance, which shall not be unreasonably withheld or delayed.

  • Information Furnished by the Underwriter The statements set forth in the first, seventh, eighth and ninth paragraphs under the caption “Underwriting” in the Prospectus constitute the only information furnished by or on behalf of the Underwriter as such information is referred to in Sections 3 and 9 hereof.

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