Compliance with Applicable Laws; Distribution of Prospectus and Reports; Confirmations. In connection with its respective activities hereunder, each party agrees to abide by the Conduct Rules of the FINRA and all other rules of self-regulatory organizations of which the relevant party is a member, as well as all laws, rules and regulations, including federal and state securities laws, that are applicable to the relevant party (and its associated persons) from time to time in connection with its activities hereunder ("Applicable Laws"). You are authorized to distribute to your customers the current prospectus of each Fund, the SAI upon request of a customer, and any supplemental sales material received from us (on the terms and for the period specified by us or stated in such material). You are not authorized to distribute, furnish or display any other sales or promotional material relating to a Fund without our written approval, but you may identify the Funds in a listing of funds available through you to your customers. Unless otherwise mutually agreed in writing, you shall deliver or cause to be delivered to each customer who purchases shares of any Fund from or through you, copies of all legally required documents, as required by law. If required by Rule 10b-10 under the Securities Exchange Act or other Applicable Laws, you shall send or cause to be sent confirmations or other reports to your customers containing such information as may be required by Applicable Laws. You agree to respond to investor inquiries concerning the Fund and to the best of your ability to contact all shareholders in the Funds to whom you have sold shares on a periodic basis to provide them with such information about the Funds as we will reasonably provide to you.
Appears in 3 contracts
Samples: Dealer and Selling Group Agreement (Steward Funds, Inc.), Dealer and Selling Group Agreement (Capstone Series Fund Inc), Dealer and Selling Group Agreement (Steward Funds, Inc.)
Compliance with Applicable Laws; Distribution of Prospectus and Reports; Confirmations. In connection with its respective activities hereunder, each party agrees to abide by the Conduct Rules of the NASD/FINRA and all other rules of self-regulatory organizations of which the relevant party is a member, as well as all laws, rules and regulations, including federal and state securities laws, that are applicable to the relevant party (and its associated persons) from time to time in connection with its activities hereunder ("Applicable Laws"). You are authorized to distribute to your customers the current prospectus of each FundProspectus, the SAI upon request of a customer, and as well as any supplemental sales material received from us the Fund or the Distributor (acting on behalf of the Fund) (on the terms and for the period specified by us or stated in such material). You are not authorized to distribute, furnish or display any other sales or promotional material relating to a Fund without our written approval, but you may identify the Funds in a listing of mutual funds available through you to your customers. Unless otherwise mutually agreed in writing, you shall deliver or cause to be delivered to each customer who purchases shares of any Fund Funds from or through you, copies of all legally required documentsannual and interim reports, as required proxy solicitation materials, and any other information and materials relating to such Funds and prepared by lawor on behalf of the Funds or us. If required by Rule 10b-10 under the Securities Exchange Act or other Applicable Laws, you shall send or cause to be sent confirmations or other reports to your customers containing such information as may be required by Applicable Laws. You agree to respond to investor inquiries concerning the Fund and to the best of your ability to contact all shareholders in the Funds to whom you have sold shares on a periodic basis to provide them with such information about the Funds as we will reasonably provide to you.
Appears in 3 contracts
Samples: HSBC Funds, Commonwealth International Series Trust, Service Fee Agreement (Coventry Group)
Compliance with Applicable Laws; Distribution of Prospectus and Reports; Confirmations. In connection with its respective activities hereunder, each party agrees to abide by the Conduct Rules of the FINRA NASD and all other rules of self-regulatory organizations of which the relevant party is a member, as well as all laws, rules and regulations, including federal and state securities laws, that are applicable to the relevant party (and its associated persons) from time to time in connection with its activities hereunder ("Applicable Laws"). You are authorized to distribute to your customers the current prospectus of each Fund, the SAI upon request of a customer, and any supplemental sales material received from us (on the terms and for the period specified by us or stated in such material). You are not authorized to distribute, furnish or display any other sales or promotional material relating to a Fund without our written approval, but you may identify the Funds in a listing of funds available through you to your customers. Unless otherwise mutually agreed in writing, you shall deliver or cause to be delivered to each customer who purchases shares of any Fund from or through you, copies of all legally required documents, as required by law. If required by Rule 10b-10 under the Securities Exchange Act or other Applicable Laws, you shall send or cause to be sent confirmations or other reports to your customers containing such information as may be required by Applicable Laws. You agree to respond to investor inquiries concerning the Fund and to the best of your ability to contact all shareholders in the Funds to whom you have sold shares on a periodic basis to provide them with such information about the Funds as we will reasonably provide to you.
Appears in 2 contracts
Samples: Fee Agreement (Capstone Series Fund Inc), Fee Agreement (Steward Funds, Inc.)
Compliance with Applicable Laws; Distribution of Prospectus and Reports; Confirmations. In connection with its respective activities hereunder, each party agrees to abide by the Conduct Rules of the FINRA NASD and all other rules of self-regulatory organizations of which the relevant party is a member, as well as all laws, rules and regulations, including federal and state securities laws, that are applicable to the relevant party (and its associated persons) from time to time in connection with its activities hereunder ("Applicable Laws"). You are authorized to distribute to your customers the current prospectus of each Fund, the SAI upon request of a customer, and any supplemental sales material received from us (on the terms and for the period specified by us or stated in such material). You are not authorized to distribute, furnish or display any other sales or promotional material relating to a Fund without our written approval, but you may identify the Funds in a listing of mutual funds available through you to your customers. Unless otherwise mutually agreed in writing, you shall deliver or cause to be delivered to each customer who purchases shares of any Fund Funds from or through you, copies of amended prospectuses, all legally required documentsannual and interim reports, as required proxy solicitation materials, and any other information and materials relating to such Funds and prepared by lawor on behalf of the Funds or us. If required by Rule 10b-10 under the Securities Exchange Act or other Applicable Laws, you shall send or cause to be sent confirmations or other reports to your customers containing such information as may be required by Applicable Laws. You agree to respond to investor inquiries concerning the Fund and to the best of your ability to contact all shareholders in the Funds to whom you have sold shares on a periodic basis to provide them with such information about the Funds as we will reasonably provide to you.
Appears in 2 contracts
Samples: Selling Group Agreement (Christian Stewardship Funds), Capstone Church Bond Fund
Compliance with Applicable Laws; Distribution of Prospectus and Reports; Confirmations. In connection with its respective activities hereunder, each party agrees to abide by the Conduct Rules of the FINRA and all other rules of self-regulatory organizations of which the relevant party is a member, as well as all laws, rules and regulations, including federal and state securities laws, that are applicable to the relevant party (and its associated persons) from time to time in connection with its activities hereunder ("“Applicable Laws"”). You agree that all activities conducted under this Agreement will be conducted in accordance with the Employee Retirement Income Security Act of 1974 and any rules thereunder, if applicable to you. You are authorized to distribute to your customers the current prospectus of each FundProspectus, the SAI upon request of a customer, and as well as any supplemental sales material received from us the Fund or the Distributor (acting on behalf of the Fund) (on the terms and for the period specified by us or stated in such material). You are not authorized to distribute, furnish or display any other sales or promotional material relating to a Fund without our prior written approval, but you may identify the Funds in a listing of mutual funds available through you to your customers. Unless otherwise mutually agreed in writing, you shall deliver or cause to be delivered to each customer who purchases shares of any Fund Funds from or through you, copies of all legally required documentsannual and interim reports, as required proxy solicitation materials, and any other information and materials relating to such Funds and prepared by lawor on behalf of the Funds or us. If required by Rule 10b-10 under the Securities Exchange Act or other Applicable Laws, you shall send or cause to be sent confirmations or other reports to your customers containing such information as may be required by Applicable Laws. You agree to respond to investor inquiries concerning the Fund and to the best of your ability to contact all shareholders in the Funds to whom you have sold shares on a periodic basis to provide them with such information about the Funds as we will reasonably provide to you.
Appears in 1 contract
Samples: Dealer Agreement (CNL Funds)
Compliance with Applicable Laws; Distribution of Prospectus and Reports; Confirmations. In connection with its respective activities hereunder, each party agrees to abide by the Conduct Rules of the FINRA NASD/FI N RA and all other rules of self-regulatory organizations of which the relevant party is a member, as well as all laws, rules and regulations, including federal and state securities laws, that are applicable to the relevant party (and its associated persons) from time to time in connection with its activities hereunder ("Applicable Laws"). You are authorized to distribute to your customers the current prospectus of each FundProspectus, the SAI upon request of a customer, and as well as any supplemental sales material received from us (on the terms and for the period specified by us or stated in such material). You are not authorized to distribute, furnish or display any other sales or promotional material relating to a Fund without our written approval, but you may identify the Funds in a listing of mutual funds available through you to your customers. Unless otherwise mutually agreed in writing, you shall deliver or cause to be delivered to each customer who purchases shares of any Fund Funds from or through you, copies of all legally required documentsannual and interim reports, as required proxy solicitation materials, and any other information and materials relating to such Funds and prepared by lawor on behalf of the Funds or us. If required by Rule 10b-10 1 Ob-1 0 under the Securities Exchange Act or other Applicable Laws, you shall send or cause to be sent confirmations or other reports to your customers containing such information as may be required by Applicable Laws. You agree to respond to investor inquiries concerning the Fund and to the best of your ability to contact all shareholders in the Funds to whom you have sold shares on a periodic basis to provide them with such information about the Funds as we will reasonably provide to you.
Appears in 1 contract
Compliance with Applicable Laws; Distribution of Prospectus and Reports; Confirmations. In connection with its respective activities hereunder, each party agrees to abide by the terms of the Prospectus, the Conduct Rules of the FINRA NASD and all other rules of self-regulatory organizations of which the relevant party is a member, as well as all laws, rules and regulations, including federal and state securities laws, that are applicable to the relevant party (and its associated persons) from time to time in connection with its activities hereunder ("“Applicable Laws"”). You are authorized to shall distribute to your customers the current prospectus of each FundProspectus and, if requested by your customers, the SAI upon request statement of a customeradditional information, and are authorized to distribute any supplemental sales material received from us (on the terms and for the period specified by us or stated in such material). You are not authorized to distribute, furnish or display any other sales or promotional material relating to a Fund without our written approval, but you may identify the Funds in a listing of mutual funds available through you to your customers. Unless otherwise mutually agreed in writing, you shall deliver or cause to be delivered to each customer who purchases shares of any Fund Funds from or through you, copies of all legally required documentsannual and interim reports, as required proxy solicitation materials, and any other information and materials relating to such Funds and prepared by lawor on behalf of the Funds or us. If required by Rule 10b-10 under the Securities Exchange Act or other Applicable Laws, you shall send or cause to be sent confirmations or other reports to your customers containing such information as may be required by Applicable Laws. You agree to respond to investor inquiries concerning the Fund and to the best of your ability to contact all shareholders in the Funds to whom you have sold shares on a periodic basis to provide them with such information about the Funds as we will reasonably provide to you.
Appears in 1 contract
Samples: Dealer Agreement (Access One Trust)
Compliance with Applicable Laws; Distribution of Prospectus and Reports; Confirmations. In connection with its respective activities hereunder, each party agrees to abide by the Conduct Rules of the FINRA, as well as all applicable FINRA interpretive materials, and all other rules of self-regulatory organizations of which the relevant party is a member, as well as all laws, rules and regulations, including federal and state securities laws, that are applicable to the relevant party (and its associated persons) from time to time in connection with its activities hereunder ("“Applicable Laws"”). You are authorized to distribute to your customers the current prospectus of each FundProspectus, including, as applicable, the SAI upon request required form of a customerInvestor certification (the “Investor Certification”), and as well as any supplemental sales material received from us the Fund or the Distributor (acting on behalf of the Fund) (on the terms and for the period specified by us or stated in such material). You are not authorized to distribute, furnish or display any other sales or promotional material relating to a the Fund without our prior written approval, but you may identify the Funds Fund in a listing of mutual funds available through you to your customers. Unless otherwise mutually agreed in writing, you shall deliver or cause to be delivered to each customer who purchases shares of any the Fund from or through you, copies of all legally required documentsannual and interim reports, proxy solicitation materials, tender offer materials (as required applicable) and any other information and materials relating to the Fund and prepared by lawor on behalf of the Fund or us. You further agree to endeavor to obtain completed proxies from such purchasers and to forward them to the Fund. If required by Rule 10b-10 under the Securities Exchange Act or other Applicable Laws, you shall send or cause to be sent confirmations or other reports to your customers containing such information as may be required by Applicable Laws. You agree to respond to investor inquiries concerning the Fund and to the best of your ability to contact all shareholders in the Funds to whom you have sold shares on a periodic basis to provide them with such information about the Funds as we will reasonably provide to you.
Appears in 1 contract
Samples: Dealer Agreement (Archstone Alternative Solutions Fund)
Compliance with Applicable Laws; Distribution of Prospectus and Reports; Confirmations. In connection with its respective activities hereunder, each party agrees to abide by the Conduct Rules of the FINRA, as well as all applicable FINRA interpretive materials, and all other rules of self-regulatory organizations of which the relevant party is a member, as well as all laws, rules and regulations, including federal and state securities laws, that are applicable to the relevant party (and its associated persons) from time to time in connection with its activities hereunder ("“Applicable Laws"”). You are authorized to distribute to your customers the current prospectus of each FundProspectus, including, as applicable, the SAI upon request required form of a customerInvestor certification (the “Investor Certification”), and as well as any supplemental sales material received from us the Fund or the Distributor (acting on behalf of the Fund) (on the terms and for the period specified by us or stated in such material). You are not authorized to distribute, furnish or display any other sales or promotional material relating to a Fund without our prior written approval, but you may identify the Funds in a listing of mutual funds available through you to your customers. Unless otherwise mutually agreed in writing, you shall deliver or cause to be delivered to each customer who purchases shares of any Fund Funds from or through you, copies of all legally required documentsannual and interim reports, proxy solicitation materials, tender offer materials (as required applicable) and any other information and materials relating to such Funds and prepared by lawor on behalf of the Funds or us. You further agree to endeavor to obtain completed proxies from such purchasers and to forward them to the applicable Fund. If required by Rule 10b-10 under the Securities Exchange Act or other Applicable Laws, you shall send or cause to be sent confirmations or other reports to your customers containing such information as may be required by Applicable Laws. You agree to respond to investor inquiries concerning the Fund and to the best of your ability to contact all shareholders in the Funds to whom you have sold shares on a periodic basis to provide them with such information about the Funds as we will reasonably provide to you.
Appears in 1 contract
Compliance with Applicable Laws; Distribution of Prospectus and Reports; Confirmations. In connection with its respective activities hereunder, each party agrees to abide by the Conduct Rules of the FINRA NASD and all other rules of self-regulatory organizations of which the relevant party is a member, as well as all laws, rules and regulations, including federal and state securities laws, that are applicable to the relevant party (and its associated persons) from time to time in connection with its activities hereunder ("Applicable Laws"). You are authorized to distribute to your customers the current prospectus of each Fund, the SAI upon request of a customer, and any supplemental sales material received from us (on the terms and for the period specified by us or stated in such material). You are not authorized to distribute, furnish or display any other sales or promotional material relating to a Fund without our written approval, but you may identify the Funds in a listing of mutual funds available through you to your customers. Unless otherwise mutually agreed in writing, you shall deliver or cause to be delivered to each customer who purchases shares of any Fund Funds from or through you, copies of all legally required documents, as required by law. If required by Rule 10b-10 under the Securities Exchange Act or other Applicable Laws, you shall send or cause to be sent confirmations or other reports to your customers containing such information as may be required by Applicable Laws. You agree to respond to investor inquiries concerning the Fund and to the best of your ability to contact all shareholders in the Funds to whom you have sold shares on a periodic basis to provide them with such information about the Funds as we will reasonably provide to you.
Appears in 1 contract