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”), whether in printed or electronic form, authorized in writing by or prepared by the Fund or the Investment Adviser for use in connection with the public offering of the Securities (collectively, “sales material”) does not include an 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 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 the Rules and Regulations and the rules and interpretations of the FINRA.
Appears in 37 contracts
Samples: Underwriting Agreement (Nuveen California Amt-Free Municipal Income Fund), Underwriting Agreement (Nuveen Connecticut Premium Income Municipal Fund), Underwriting Agreement (Nuveen North Carolina Premium Income Municipal 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”), whether in printed or electronic form, authorized in writing by or prepared by the Fund or the Investment Adviser Advisers for use in connection with the public offering of the Securities (collectively, “sales material”) does not include an 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 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 the Rules and Regulations and the rules and interpretations of the FINRA.
Appears in 6 contracts
Samples: Underwriting Agreement (Nuveen California Dividend Advantage Municipal Fund 3), Underwriting Agreement (Nuveen California Dividend Advantage Municipal Fund 3), Underwriting Agreement (Nuveen Ohio Dividend Advantage Municipal Fund 3)
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”), whether in printed or electronic form, ) authorized in writing by or prepared by the Fund or the Investment Adviser for use Advisers used in connection with the public offering of the Securities (collectively, “sales material”) does not include contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under in which they were made, 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 the FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (Western Asset High Yield Defined Opportunity Fund Inc.), Underwriting Agreement (Western Asset Mortgage Defined 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”), whether in printed or electronic form, authorized in writing by or prepared by or at the direction of the Fund or the Investment Adviser Advisers for use in connection with the public offering and sale of the Securities (collectively, “sales materialSales Material”) does not include contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under 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 the FINRA, including legacy NASD rules.
Appears in 2 contracts
Samples: Initial Offering Period Agreement (Western Asset Middle Market Income Fund Inc.), Distribution Agreement (Western Asset Middle Market Debt 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”), whether in printed or electronic form, ) authorized in writing by or prepared by the Fund Fund, the Manager, the Commodity Subadvisor or the Investment Adviser for use Collateral Subadvisor and used in connection with the public offering of the Securities (collectively, “sales material”) does not include contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, therein not misleading. All sales material complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1940 1933 Act and Regulations, the Rules and Regulations Commodities Act, the Commodities Act and the rules and regulations and interpretations of FINRA and the FINRANFA.
Appears in 2 contracts
Samples: Underwriting Agreement (Nuveen Diversified Commodity Fund), Underwriting Agreement (Nuveen Diversified Commodity 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”"), whether in printed or electronic form, authorized in writing by or prepared by or at the direction of the Fund or the Investment Adviser Advisers for use in connection with the public offering and sale of the Securities (collectively, “sales material”"Sales Material") does not include contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under 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 the FINRA, including legacy NASD rules.
Appears in 1 contract
Samples: Distribution Agreement (Guggenheim Energy & 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”), whether in printed or electronic form, ) authorized in writing by or prepared by the Fund Fund, the Manager, the Commodity Subadvisor or the Investment Adviser for use Collateral Subadvisor and used in connection with the public offering of the Securities (collectively, “sales materialSales Material”) does not include contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, therein 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 1933 Act and Regulations, the CEA, the CFTC Rules and Regulations and the rules and regulations and interpretations of FINRA and the FINRANFA.
Appears in 1 contract
Samples: Underwriting Agreement (Nuveen Long/Short Commodity Total Return Fund)