Adviser Status. The Adviser is duly registered as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the 1940 Act Rules and Regulations from acting under the Investment Management Agreement or the Fee Agreements as contemplated by the Preliminary Prospectus and the Prospectus.
Appears in 11 contracts
Samples: Underwriting Agreement (Eaton Vance Floating-Rate 2022 Target Term Trust), Underwriting Agreement (AllianzGI Convertible & Income 2024 Target Term Fund), Underwriting Agreement (Miller/Howard High Income Equity Fund)
Adviser Status. The Adviser is duly registered as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the 1940 Act Rules and Regulations from acting under the Investment Management Agreement or the Fee Adviser Agreements as contemplated by the Preliminary Prospectus and the Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.), Underwriting Agreement (Eagle Growth & Income Opportunities Fund), RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Adviser Status. The Adviser is duly registered as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the Investment Company Act, the 1940 Act, the Advisers Act Rules and Regulations or the 1940 Act Rules and Regulations from acting under the Investment Management Advisory Agreement or the Fee Agreements as contemplated by the Preliminary Prospectus and the Prospectus.
Appears in 2 contracts
Samples: Sales Agreement (Miller/Howard High Income Equity Fund), Investment Advisory Agreement (Miller/Howard High Income Equity Fund)
Adviser Status. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations Regulations, the 1940 Act or the 1940 Act Rules and Regulations from acting under the Investment Management Advisory Agreement or for the Fee Agreements Fund as contemplated by the Preliminary Prospectus and (or any amendment or supplement thereto). There does not exist any proceeding or any facts or circumstances the Prospectusexistence of which could lead to any proceeding which might adversely affect the registration of the Adviser with the Commission.
Appears in 2 contracts
Samples: Form of Agreement (Gabelli Dividend & Income Trust), Gabelli Dividend & Income Trust
Adviser Status. The Adviser Investment Manager is duly registered as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the 1940 Act Rules and Regulations from acting under the Investment Management Agreement or the Fee Agreements as contemplated by the Preliminary Prospectus Registration Statement, the General Disclosure Package and the Prospectus.
Appears in 2 contracts
Samples: AllianzGI Convertible & Income Fund, AllianzGI Convertible & Income Fund II
Adviser Status. The Adviser is duly registered as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the 1940 Act Rules and Regulations from acting under the Investment Management Advisory Agreement or the Fee Agreements as contemplated by the Preliminary Prospectus and the Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Flaherty & Crumrine Dynamic Preferred & Income Fund Inc), Underwriting Agreement (BlackRock Build America Bond Trust)
Adviser Status. The Adviser is duly registered as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the 1940 Act Rules and Regulations from acting under the Investment Management Advisory Agreement or the Fee Agreements as contemplated by the Preliminary Prospectus Registration Statement, the General Disclosure Package and the Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Tekla Healthcare Opportunities Fund), Underwriting Agreement (Tekla World Healthcare Fund)
Adviser Status. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, Act or the 1940 Act, the Advisers Act Rules and Regulations or the 1940 Act Rules and Regulations from acting under the Investment Management Agreement or the Fee Agreements as contemplated by the Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Equity Distribution Agreement (DNP Select Income Fund Inc)
Adviser Status. The Investment Adviser is duly registered as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the 1940 Act Rules and Regulations from acting under the Investment Management Agreement or the Fee Adviser Agreements as contemplated by the Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Rivernorth Opportunities Fund, Inc.)
Adviser Status. The Adviser is duly registered as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the 1940 Act Rules and Regulations from acting under the Investment Management Advisory Agreement, the Administration Agreement or the Fee Agreements as contemplated by the Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Federated Enhanced Treasury Income Fund)
Adviser Status. The Adviser is duly registered as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the 1940 Act Rules and Regulations from acting under the Investment Management Agreement or the Fee Advisor Agreements as contemplated by the Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Rivernorth Opportunities Fund, Inc.)
Adviser Status. The Adviser is duly registered as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the 1940 Investment Company Act Rules and Regulations from acting under the Investment Management Agreement, the Sub-Advisory Agreement or the Fee Agreements License Agreement (collectively the “Adviser Agreements”) as contemplated by the Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Sales Agreement (Rivernorth Opportunities Fund, Inc.)
Adviser Status. The Adviser is duly registered as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the 1940 Act Rules and Regulations from acting under the Investment Management Agreement, the Sub-Advisory Agreement, the Administration Agreement or the Fee Agreements as contemplated by the Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (First Trust High Income Long/Short Fund)
Adviser Status. The Adviser is duly registered as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the 1940 Act Rules and Regulations from acting under the Investment Management Agreement, the Sub-Advisory Agreement or the Fee Agreements as contemplated by the Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Neuberger Berman MLP Income Fund Inc.)
Adviser Status. The Adviser is duly registered as an investment adviser under the Advisers Act Act, and the Adviser is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the 1940 Act Rules and Regulations from acting under the Investment Management Agreement or the Fee Adviser Agreements as contemplated by the Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Center Coast MLP & Infrastructure Fund)
Adviser Status. The Adviser is duly registered as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the 1940 Act Rules and Regulations from acting under this Agreement, the Investment Management Agreement, the Subadvisory Agreement or the Fee Agreements as contemplated by the Registration Statement, the Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Dreyfus Alcentra Global Credit Income 2024 Target Term Fund, Inc.)
Adviser Status. The Adviser is duly registered as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the 1940 Act Rules and Regulations from acting under the Investment Management Advisory Agreement, the Sub-Advisory Agreement or the Fee Agreements as contemplated by the Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Principal Real Estate Income Fund)
Adviser Status. The Investment Adviser is duly registered as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the 1940 Act Rules and Regulations from acting under the Investment Management Advisory Agreement or the Fee Agreements as contemplated by the Preliminary Prospectus General Disclosure Package, the Registration Statement and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Brookfield Mortgage Opportunity Income Fund Inc.)
Adviser Status. The Adviser is duly registered as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the 1940 Act Rules and Regulations from acting under the Investment Management Agreement, the Sub-Advisory Agreement, the Investor Support Services Agreement or the Fee Agreements as contemplated by the Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (THL Credit Senior Loan Fund)