APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of: (i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”); (ii) the Trust’s current Registration Statement; (iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC; (iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”); (v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”). (b) The Trust shall promptly furnish NLD with: (i) all amendments of or supplements to the foregoing; and (ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 16 contracts
Samples: Underwriting Agreement (Northern Lights Fund Trust Iii), Underwriting Agreement (Northern Lights Fund Trust Ii), Underwriting Agreement (Multi-Strategy Growth & Income Fund)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Organic Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 15 contracts
Samples: Underwriting Agreement (Advisorone Funds), Underwriting Agreement (Saratoga Advantage Trust), Underwriting Agreement (Advisorone Funds)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(ba) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 15 contracts
Samples: Underwriting Agreement (Advisorone Funds), Underwriting Agreement (Advisorone Funds), Underwriting Agreement (Multi-Strategy Growth & Income Fund)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 6 contracts
Samples: Underwriting Agreement (Copeland Trust), Underwriting Agreement (Copeland Trust), Underwriting Agreement (Copeland Trust)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have Trust has delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);; and
(v) any current plan of distribution or similar document adopted by the Funds a Fund under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust a Fund (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 5 contracts
Samples: Underwriting Agreement (Two Roads Shared Trust), Underwriting Agreement (Miller Investment Trust), Underwriting Agreement (Two Roads Shared Trust)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Organic Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(ba) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 5 contracts
Samples: Underwriting Agreement (Advisorone Funds), Underwriting Agreement (Advisorone Funds), Underwriting Agreement (Northern Lights Variable Trust)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
; (iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 4 contracts
Samples: Underwriting Agreement (Equinox Funds Trust), Underwriting Agreement (Neiman Funds), Underwriting Agreement (Morgan Creek Series Trust)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds Trust under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 4 contracts
Samples: Underwriting Agreement (Forethought Variable Insurance Trust), Underwriting Agreement (Forethought Variable Insurance Trust), Underwriting Agreement (Forethought Variable Insurance Trust)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Investment Company Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution any resolutions of the Board appointing NLD as principal underwriter of the Funds and authorizing the execution and delivery of this Agreement.
Appears in 4 contracts
Samples: Underwriting Agreement (Mutual Fund Series Trust), Underwriting Agreement (Northern Lights Fund Trust IV), Underwriting Agreement (Centerstone Investors Trust)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust Corporation hereby appoints NLD, and NLD hereby agrees, to act as the principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have Corporation has delivered to NLD current copies of:
(i) the TrustCorporation’s Agreement and Declaration of Trust Corporation and By-laws (the “Organizational Documents”);
(ii) the TrustCorporation’s current Registration Statement;
(iii) the TrustCorporation’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the TrustCorporation’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust Corporation (“Service Plan”).
(b) The Trust Corporation shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 3 contracts
Samples: Underwriting Agreement (Tributary Funds, Inc.), Underwriting Agreement (Tributary Funds, Inc.), Underwriting Agreement (Tributary Funds, Inc.)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 3 contracts
Samples: Underwriting Agreement (Predex), Underwriting Agreement (Vertical Capital Income Fund), Underwriting Agreement (CLA Strategic Allocation Fund)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(ba) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 3 contracts
Samples: Underwriting Agreement (Northern Lights Fund Trust), Underwriting Agreement (Copeland Trust), Underwriting Agreement (Copeland Trust)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. NLD’s services hereunder shall commence as of the date NLD first provides services with respect to a Fund. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Organic Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(ba) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 2 contracts
Samples: Underwriting Agreement (Epiphany Funds), Underwriting Agreement (Nile Capital Investment Trust)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as the principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have Trust has delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Organic Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 2 contracts
Samples: Underwriting Agreement (National Retail Fund I), Underwriting Agreement (National Retail Fund III)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. NLD’s services hereunder shall commence as of the date NLD first provides services with respect to or on behalf of a Fund. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Organic Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 2 contracts
Samples: Underwriting Agreement (Nile Capital Investment Trust), Underwriting Agreement (Nile Capital Investment Trust)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws By‐laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A N‐8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 12b‐1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 2 contracts
Samples: Underwriting Agreement (Resource Real Estate Diversified Income Fund), Underwriting Agreement (Multi-Strategy Growth & Income Fund)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information Confidential Private Placement Memorandum (as currently in effect and as amended or supplemented, the “ProspectusPPM”);; and
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 2 contracts
Samples: Distribution Agreement (Princeton Private Investments Access Fund), Distribution Agreement (Princeton Private Equity Fund)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust Corporation hereby appoints NLD, and NLD hereby agrees, to act as the principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have Corporation has delivered to NLD current copies of:
(i) the Trust’s Corporation's Agreement and Declaration of Trust Corporation and By-By- laws (the “"Organizational Documents”");
(ii) the Trust’s Corporation's current Registration Statement;
(iii) the Trust’s Corporation's notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s Corporation's current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “"Prospectus”");
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“"Plan”") and each current shareholder service plan or similar document adopted by the Trust Corporation (“"Service Plan”").
(b) The Trust Corporation shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 1 contract
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
; (iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);; and
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 1 contract
Samples: Underwriting Agreement (BlueArc Multi-Strategy Fund)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have Trust has delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);; and
(v) any current plan of distribution or similar document adopted by the Funds a Fund under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust a Fund (“Service Plan”).
(ba) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 1 contract
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
; (iv) the Trust’s current Prospectus and Statement of Additional Information Confidential Private Placement Memorandum (as currently in effect and as amended or supplemented, the “ProspectusPPM”);; and
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 1 contract
Samples: Distribution Agreement (Princeton Private Equity Fund)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have Trust has delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);; and
(v) any current plan of distribution or similar document adopted by the Funds a Fund under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust a Fund (“Service Plan”).
(ba) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 1 contract
Samples: Underwriting Agreement (DMS Funds)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Organic Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
; (iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 1 contract
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have Trust has delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws By‐laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A N‐8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);; and
(v) any current plan of distribution or similar document adopted by the Funds a Fund under Rule 12b-1 12b‐1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust a Fund (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 1 contract
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have Trust has delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”);
; (ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);; and
(v) any current plan of distribution or similar document adopted by the Funds a Fund under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust a Fund (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 1 contract
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust Company hereby appoints NLD, and NLD hereby agrees, to act as the principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have Company has delivered to NLD current copies of:
(i) the TrustCompany’s Agreement and Declaration Articles of Trust Incorporation and By-laws (the “Organizational Organic Documents”);
(ii) the TrustCompany’s current Registration Statement;
(iii) the TrustCompany’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the TrustCompany’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, collectively the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust Company (“Service Plan”).
(ba) The Trust Company shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 1 contract
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Organic Documents”);
(ii) the Trust’s current Registration Statement;
; (iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 1 contract
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);; and
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 1 contract
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust Company hereby appoints NLD, and NLD hereby agrees, to act as the principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have Company has delivered to NLD current copies of:
(i) the TrustCompany’s Agreement and Declaration Articles of Trust Incorporation and By-laws (the “Organizational Organic Documents”);
(ii) the TrustCompany’s current Registration Statement;
(iii) the TrustCompany’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the TrustCompany’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, collectively the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust Company (“Service Plan”).
(b) The Trust Company shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 1 contract
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws By‐laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A N‐8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 1 contract
Samples: Underwriting Agreement (Predex)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Investment Company Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
and (ii) a copy of the resolution any resolutions of the Board appointing NLD as principal underwriter of the Funds and authorizing the execution and delivery of this Agreement.
Appears in 1 contract
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);; and
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”).
(b) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 1 contract
Samples: Underwriting Agreement (BlueArc Multi-Strategy Fund)
APPOINTMENT OF NLD AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints NLD, and NLD hereby agrees, to act as principal underwriter and distributor of the Shares of the Funds for the period and on the terms set forth in this Agreement. In connection therewith, the Funds have Trust has delivered to NLD current copies of:
(i) the Trust’s Agreement and Declaration of Trust and By-laws (the “Organizational Documents”);
(ii) the Trust’s current Registration Statement;
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust’s current Prospectus and Statement of Additional Information (as currently in effect and as amended or supplemented, the “Prospectus”);; and
(v) any current plan of distribution or similar document adopted by the Funds under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Trust a Fund (“Service Plan”).
(ba) The Trust shall promptly furnish NLD with:
(i) all amendments of or supplements to the foregoing; and
(ii) a copy of the resolution of the Board appointing NLD and authorizing the execution and delivery of this Agreement.
Appears in 1 contract
Samples: Underwriting Agreement (Bluerock Total Alternatives Real Estate Fund)