Advertisements. Any advertising, sales literature or other promotional material (including “prospectus wrappers,” “broker kits,” “road show slides,” “road show scripts” and “electronic road show presentations”) authorized in writing by or prepared by the Fund or the Investment Adviser and used in connection with the public offering of the Securities (collectively, “sales material”) does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and the Rules and Regulations and the rules and interpretations of FINRA.
Appears in 8 contracts
Samples: Underwriting Agreement (Nuveen Build America Bond Fund), Underwriting Agreement (Nuveen Build America Bond Fund), Underwriting Agreement (Nuveen New Jersey Municipal Value Fund)
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “" "broker kits,” “" "road show slides,” “" and "road show scripts” " and “"electronic road show presentations”") authorized in writing by or prepared by the Fund or the Investment Adviser and used in connection with the public offering of the Securities Shares (collectively, “"sales material”") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Investment Company Act, the Rules and Regulations and the rules and interpretations of FINRAthe NASD.
Appears in 6 contracts
Samples: Purchase Agreement (Enhanced Equity Yield & Premium Fund, Inc.), Purchase Agreement (Floating Rate Income Strategies Fund Ii Inc), Purchase Agreement (Diversified Income Strategies Portfolio, Inc.)
Advertisements. Any advertising, sales literature or other promotional material (including “prospectus wrappers,” “broker kits,” “road show slides,” and “road show scripts” and “electronic road show presentations”) authorized in writing by or prepared by the Fund or either of the Investment Adviser and Advisers used in connection with the public offering of the Securities Shares (collectively, “sales material”) does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Investment Company Act, the Rules and Regulations and the rules and interpretations of FINRAthe NASD, Inc. (“NASD”).
Appears in 5 contracts
Samples: Purchase Agreement (S&P 500 GEARED Fund Inc.), Purchase Agreement (Defined Strategy Fund, Inc.), Purchase Agreement (Dow 30 Premium & Dividend Income Fund Inc.)
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “", "broker kits,” “" "road show slides,” “" "road show scripts” " and “"electronic road show presentations”") authorized in writing by or prepared by the Fund Trust or the Investment Adviser and Advisers used in connection with the public offering of the Securities (collectively, “"sales material”") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Act, the Rules and Regulations and the rules and interpretations of FINRAthe National Association of Securities Dealers, Inc. ("NASD").
Appears in 4 contracts
Samples: Purchase Agreement (Blackrock Limited Duration Income Trust), Purchase Agreement (Blackrock Municipal Income Trust Ii), Purchase Agreement (Blackrock California Municipal Income Trust Ii)
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “" "broker kits,” “" "road show slides,” “" and "road show scripts” and “electronic road show presentations”") authorized in writing by or prepared by the Fund Trust or the Investment Adviser and Administrator used in connection with the public offering of the Securities AMPS (collectively, “"sales material”") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein therein, in light of the circumstances in which they were made, not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and the Rules and Regulations and the rules and interpretations of FINRAthe NASD, Inc. ("NASD").
Appears in 4 contracts
Samples: Purchase Agreement (Reaves Utility Income Fund), Purchase Agreement (Clough Global Opportunities Fund), Purchase Agreement (Clough Global Allocation Fund)
Advertisements. Any advertising, sales literature or other promotional material (including “prospectus wrappers,” “broker kits,” “road show slides,” “road show scripts” and “electronic road show presentations”) authorized in writing by or prepared by the Fund Trust or the Investment Adviser and Advisers used in connection with the public offering of the Securities (collectively, “sales material”) does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Act, the Rules and Regulations and the rules and interpretations of FINRAthe National Association of Securities Dealers, Inc. (“NASD”).
Appears in 3 contracts
Samples: Purchase Agreement (BlackRock Enhanced Dividend Achievers Trust), Purchase Agreement (BlackRock Global Equity Income Trust), Purchase Agreement (BlackRock Enhanced Dividend Achievers Trust)
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “", "broker kits,” “" "road show slides,” “" and "road show scripts” " and “"electronic road show presentations”") authorized in writing by or prepared by the Fund or the Investment Adviser and used in connection with the public offering of the Securities Shares (collectively, “"sales material”") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Investment Company Act, the Rules and Regulations and the rules and interpretations of FINRAthe National Association of Securities Dealers, Inc. ("NASD").
Appears in 3 contracts
Samples: Purchase Agreement (Muni New York Intermediate Duration Fund Inc), Purchase Agreement (Muni California Intermediate Duration Fund Inc), Purchase Agreement (Muni Intermediate Duration Fund Inc)
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “" "broker kits,” “" "road show slides,” “" and "road show scripts” and “electronic road show presentations”") authorized in writing by or prepared by the Fund Trust or the Investment Adviser and Administrator used in connection with the public offering of the Securities (collectively, “"sales material”") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein therein, in light of the circumstances in which they were made, not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and the Rules and Regulations and the rules and interpretations of FINRAthe NASD, Inc. ("NASD").
Appears in 3 contracts
Samples: Purchase Agreement (Clough Global Allocation Fund), Purchase Agreement (Clough Global Equity Fund), Purchase Agreement (Clough Global Opportunities Fund)
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “" "broker kits,” “" "road show slides,” “" and "road show scripts” " and “"electronic road show presentations”") authorized in writing by or prepared by the Fund or the Investment Adviser and Manager used in connection with the public offering of the Securities (collectively, “"sales material”") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Act, the Rules and Regulations and the rules and interpretations of FINRAthe NASD.
Appears in 3 contracts
Samples: Purchase Agreement (Cohen & Steers Select Utility Fund Inc), Purchase Agreement (Cohen & Steers Reit & Utility Income Fund Inc), Purchase Agreement (Cohen & Steers Reit & Preferred Income Fund Inc)
Advertisements. Any advertising, sales literature or other promotional material (including “prospectus wrappers,” “broker kits,” “road show slides,” “road show scripts” and “electronic road show presentations”) authorized in writing by or prepared by the Fund or the Investment Adviser and used in connection with the public offering of the Securities (collectively, “sales material”) does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and the Rules and Regulations and the rules and interpretations of FINRAthe NASD.
Appears in 2 contracts
Samples: Purchase Agreement (Nuveen Municipal High Income Opportunity Fund 2), Purchase Agreement (Nuveen Municipal High Income Opportunity Fund 2)
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “", "broker kits,” “" "road show slides,” “" and "road show scripts” " and “"electronic road show presentations”") authorized in writing by or prepared by the Fund or the Investment Adviser and Advisers used in connection with the public offering of the Securities AMPS (collectively, “"sales material”") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Act, the Rules and Regulations and the rules and interpretations of FINRAthe NASD.
Appears in 2 contracts
Samples: Purchase Agreement (Evergreen Income Advantage Fund), Purchase Agreement (Evergreen Managed Income Fund)
Advertisements. Any advertising, sales literature or other promotional material (including “prospectus wrappers,” “broker kits,” “road show slides,” and “road show scripts” and “electronic road show presentations”) authorized in writing by or prepared by the Fund or the Investment Adviser Advisers and used in connection with the public offering of the Securities (collectively, “sales material”) does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein therein, in light of the circumstances in which they were made, not misleading. All sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and the Rules and Regulations and the rules and interpretations of FINRAthe National Association of Securities Dealers, Inc. (“NASD”).
Appears in 2 contracts
Samples: Purchase Agreement (ING Global Advantage & Premium Opportunity Fund), Purchase Agreement (Advent/Claymore Global Convertible Securities & Income Fund)
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “", "broker kits,” “" "road show slides,” “" and "road show scripts” " and “"electronic road show presentations”") authorized in writing by or prepared by the Fund or the Investment Adviser and used in connection with the public offering of the Securities Shares (collectively, “"sales material”") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Investment Company Act, the Rules and Regulations and the rules and interpretations of FINRAthe National Association of Securities Dealers, Inc. ("NASD").
Appears in 2 contracts
Samples: Purchase Agreement (Preferred Income Strategies Fund Inc), Purchase Agreement (Corporate High Yield Vi)
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “", "broker kits,” “" "road show slides,” “" and "road show scripts” " and “"electronic road show presentations”") authorized in writing by or prepared by the Fund or the Investment Adviser and Advisers used in connection with the public offering of the Securities (collectively, “"sales material”") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Act, the Rules and Regulations and the rules and interpretations of FINRAthe NASD.
Appears in 2 contracts
Samples: Purchase Agreement (Evergreen Managed Income Fund), Purchase Agreement (Evergreen Income Advantage Fund)
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “", "broker kits,” “" "road show slides,” “" and "road show scripts” and “electronic road show presentations”") authorized in writing by or prepared by the Fund or the Investment Adviser and used in connection with the public offering of the Securities AMPS (collectively, “sales material”"Sales Material") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein in light of the circumstances under which they were made not misleading. All sales material Moreover, all Sales Material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Act, the Rules and Regulations and the rules and interpretations of FINRAthe National Association of Securities Dealers, Inc. ("NASD").
Appears in 2 contracts
Samples: Purchase Agreement (Calamos Convertible Opportunities & Income Fund), Purchase Agreement (Calamos Convertible Opportunities & Income Fund)
Advertisements. Any advertising, sales literature or other promotional material (including “prospectus wrappers,” “broker kits,” “road show slides,” “road show scripts” and “electronic road show presentations”) authorized in writing by or prepared by the Fund or the Investment Adviser and Advisers used in connection with the public offering of the Securities (collectively, “sales material”) does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Act, the Rules and Regulations and the rules and interpretations of FINRAthe NASD.
Appears in 1 contract
Samples: Purchase Agreement (Cohen & Steers Global Income Builder, Inc)
Advertisements. Any advertising, sales literature or other promotional material (including “prospectus wrappers,” “broker kits,” “road show slides,” “road show scripts” and “electronic road show presentations”) authorized in writing by or prepared by the Fund or the Investment an Adviser and used in connection with the public offering of the Securities (collectively, “sales material”) does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and the Rules and Regulations and the rules and interpretations of FINRAthe NASD.
Appears in 1 contract
Samples: Purchase Agreement (Nuveen Global Government Enhanced Income Fund)
Advertisements. Any advertising, sales literature or other promotional material (including “prospectus wrappers,” “broker kits,” “road show slides,” “road show scripts” and “electronic road show presentations”) authorized in writing by or prepared by the Fund Trust or the Investment Adviser and Advisers used in connection with the public offering of the Securities AMPS (collectively, “sales material”) does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Act, the Rules and Regulations and the rules and interpretations of FINRAthe National Association of Securities Dealers, Inc. (“NASD”).
Appears in 1 contract
Samples: Purchase Agreement (BlackRock Preferred & Equity Advantage Trust)
Advertisements. Any advertising, sales literature or other promotional material (including “prospectus wrappers,” ”, “broker kits,” “road show slides,” “road show scripts” and “electronic road show presentations”) authorized in writing by or prepared by the Fund Trust or the Investment Adviser and Advisers used in connection with the public offering of the Securities (collectively, “sales material”) does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Act, the Rules and Regulations and the rules and interpretations of FINRAthe National Association of Securities Dealers, Inc. (“NASD”).
Appears in 1 contract
Samples: Purchase Agreement (Blackrock Strategic Dividend Achievers Trust)
Advertisements. Any advertising, sales literature or other promotional material (including “prospectus wrappers,” “broker kits,” “road show slides,” “road show scripts” and “electronic road show presentations”) authorized in writing by or prepared by the Fund or the Investment Adviser and Manager used in connection with the public offering of the Securities (collectively, “sales material”) does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Act, the Rules and Regulations and the rules and interpretations of FINRAthe NASD.
Appears in 1 contract
Samples: Purchase Agreement (Cohen & Steers Closed-End Opportunity Fund, Inc.)
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “" "broker kits,” “" "road show slides,” “" and "road show scripts” and “electronic road show presentations”") authorized in writing by or prepared by the Fund Trust or the Investment Adviser Advisers and used in connection with the public offering of the Securities (collectively, “sales material”"Sales Material") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein therein, in light of the circumstances in which they were made, not misleading. All sales material Sales Material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and the Rules and Regulations and the rules and interpretations of FINRA, including legacy NASD rules.
Appears in 1 contract
Samples: Underwriting Agreement (Guggenheim Build America Bonds Managed Duration Trust)
Advertisements. Any advertising, sales literature or other promotional material (including “prospectus wrappers,” “broker kits,” “road show slides,” and “road show scripts” and “electronic road show presentations”) authorized in writing by or prepared by the Fund or the Investment Adviser Advisers and used in connection with the public offering of the Securities (collectively, “sales materialSales Material”) does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein therein, in light of the circumstances in which they were made, not misleading. All sales material Sales Material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and the Rules and Regulations and the rules and interpretations of FINRAthe National Association of Securities Dealers, Inc. (“NASD”).
Appears in 1 contract
Samples: Purchase Agreement (ING International High Dividend Equity Income Fund)
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “" "broker kits,” “" "road show slides,” “" "road show scripts” " and “"electronic road show presentations”") authorized in writing by or prepared by the Fund or the Investment Adviser and used in connection with the public offering of the Securities Shares (collectively, “"sales material”") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Investment Company Act, the Rules and Regulations and the rules and interpretations of FINRAthe NASD.
Appears in 1 contract
Samples: Purchase Agreement (Preferred & Corporate Income Strategies Fund Inc)
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “", "broker kits,” “" "road show slides,” “" "road show scripts” " and “"electronic road show presentations”") authorized in writing by or prepared by the Fund Trust or the Investment Adviser and used in connection with the public offering of the Securities (collectively, “"sales material”") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Act, the Rules and Regulations and the rules and interpretations of FINRAthe National Association of Securities Dealers, Inc. ("NASD").
Appears in 1 contract
Samples: Purchase Agreement (BlackRock Health Sciences Trust)
Advertisements. Any advertising, sales literature or other promotional material (including “prospectus wrappers,” “broker kits,” “road show slides,” “road show scripts” and “electronic road show presentations”) authorized in writing by or prepared by the Fund or the Investment Adviser and Advisers used in connection with the public offering of the Securities AMPS (collectively, “sales material”) does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Act, the Rules and Regulations and the rules and interpretations of the Financial Industry Regulatory Authority (“FINRA”).
Appears in 1 contract
Samples: Purchase Agreement (Cohen & Steers Global Income Builder, Inc)
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “" "broker kits,” “" "road show slides,” “" "road show scripts” " and “"electronic road show presentations”") authorized in writing by or prepared by the Fund or the Investment Adviser and Manager used in connection with the public offering of the Securities (collectively, “"sales material”") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Act, the Rules and Regulations and the rules and interpretations of FINRAthe NASD.
Appears in 1 contract
Samples: Purchase Agreement (Cohen & Steers Dividend Majors Fund, Inc.)
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “", "broker kits,” “" "road show slides,” “" and "road show scripts” and “electronic road show presentations”") authorized in writing by or prepared by the Fund or the Investment Adviser and Advisor used in connection with the public offering of the Securities AMPS (collectively, “"sales material”") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein therein, in light of the circumstances in which they were made, not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act Act, and the Rules and Regulations and the rules and interpretations of FINRAthe NASD.
Appears in 1 contract
Samples: Purchase Agreement (Western Asset Claymore Us Treasury Inflation Pro Secu Fund)
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “", "broker kits,” “" "road show slides,” “" and "road show scripts” " and “"electronic road show presentations”") authorized in writing by or prepared by the Fund or the Investment Adviser and used in connection with the public offering of the Securities Shares (collectively, “"sales material”") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Act, the Rules and Regulations and the rules and interpretations of FINRAthe National Association of Securities Dealers, Inc. ("NASD").
Appears in 1 contract
Samples: Purchase Agreement (Preferred Income Strategies Fund Inc)
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “" "broker kits,” “" "road show slides,” “" "road show scripts” " and “"electronic road show presentations”") authorized in writing by or prepared by the Fund Trust or the Investment Adviser and Advisers used in connection with the public offering of the Securities (collectively, “"sales material”") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Act, the Rules and Regulations and the rules and interpretations of FINRAthe National Association of Securities Dealers, Inc. ("NASD").
Appears in 1 contract
Samples: Purchase Agreement (BlackRock Long-Term Municipal Advantage Trust)
Advertisements. Any advertising, sales literature or other promotional material (including “prospectus wrappers,” “broker kits,” “road show slides,” and “road show scripts” and “electronic road show presentations”) authorized in writing by or prepared by the Fund or the Investment Adviser and used for use in connection with the public offering of the Securities (collectively, “sales material”) does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein therein, in light of the circumstances under which they were made, not misleading. All sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Act, the Rules and Regulations and the rules and interpretations of FINRA.
Appears in 1 contract
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “" "broker kits,” “" "road show slides,” “" and "road show scripts” " and “"electronic road show presentations”") authorized in writing by or prepared by the Fund or the Investment Adviser and used in connection with the public offering of the Securities Shares (collectively, “"sales material”") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Investment Company Act, the Rules and Regulations and the rules and interpretations of FINRAthe National Association of Securities Dealers, Inc. ("NASD").
Appears in 1 contract
Samples: Purchase Agreement (Floating Rate Income Strategies Fund Inc)
Advertisements. Any advertising, sales literature or other promotional material (including “prospectus wrappers,” “broker kits,” “road show slides,” and “road show scripts” and “electronic road show presentations”) authorized in writing by or prepared by the Fund or the Investment Adviser Advisers and used in connection with the public offering of the Securities AMPS (collectively, “sales material”) does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein therein, in light of the circumstances in which they were made, not misleading. All sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and the Rules and Regulations and the rules and interpretations of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Appears in 1 contract
Samples: Purchase Agreement (Advent/Claymore Global Convertible Securities & Income Fund)
Advertisements. Any advertising, sales literature or other promotional material (including “"prospectus wrappers,” “", "broker kits,” “" "road show slides,” “" and "road show scripts” and “electronic road show presentations”") authorized in writing by or prepared by the Fund Trust or the Investment Adviser and used in connection with the public offering of the Securities (collectively, “"sales material”") does not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein in light of the circumstances under which they were made not misleading. All Moreover, all sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 Act and Act, the Rules and Regulations and the rules and interpretations of FINRAthe National Association of Securities Dealers, Inc. ("NASD").
Appears in 1 contract
Samples: Purchase Agreement (Calamos Convertible Opportunities & Income Fund)