Compliance with Rule 15c2-8. In the case of a Registered Offering and any other Offering to which the provisions of Rule 15c2-8 under the 1934 Act are made applicable pursuant to the AAU or otherwise, you will comply with such Rule in connection with the Offering. In the case of an Offering other than a Registered Offering, you will comply with applicable Federal and state laws and the applicable rules and regulations of any regulatory body promulgated thereunder governing the use and distribution of offering circulars by underwriters.
Appears in 172 contracts
Samples: Master Agreement Among Underwriters, Master Agreement Among Underwriters, Master Agreement Among Underwriters (RiverNorth Managed Duration Municipal Income Fund II, Inc.)
Compliance with Rule 15c2-8. In the case of a Registered Offering and any other Offering to which the provisions of Rule 15c2-8 under the 1934 Act are made applicable pursuant to the AAU or otherwise, you will agree to comply with such Rule in connection with the Offering. In the case of an Offering other than a Registered Offering, you will agree to comply with applicable Federal and state laws and the applicable rules and regulations of any regulatory body promulgated thereunder governing the use and distribution of offering circulars by underwriters.
Appears in 23 contracts
Samples: Master Agreement (Nuveen Build America Bond Opportunity Fund), Master Agreement (Nuveen Build America Bond Opportunity Fund), Master Agreement (ClearBridge Energy MLP Fund Inc.)
Compliance with Rule 15c2-8. In the case of a Registered Offering and any other Offering to which the provisions of Rule 15c2-8 under the 1934 Act are made applicable pursuant to the AAU or otherwise, you will comply with such Rule in connection with the Offering. In the case of an Offering other than a Registered Offering, you will comply with applicable Federal and state laws and the applicable rules and regulations of any regulatory body promulgated thereunder governing the use and distribution of offering circulars by underwriters.of
Appears in 1 contract
Samples: Master Agreement Among Underwriters
Compliance with Rule 15c2-8. In the case of a Registered Offering and any other Offering to which the provisions of Rule 15c2-8 under the 1934 Act are made applicable pursuant to the AAU or otherwise, you will comply with such Rule in connection with the Offering. In the case of an Offering other than a Registered Offering, you will comply with applicable Federal and state laws, the applicable non-U.S. laws and the applicable rules and regulations of any regulatory body promulgated thereunder governing the use and distribution of offering circulars by underwriters.
Appears in 1 contract
Samples: Master Agreement Among Underwriters (StoneCastle Financial Corp.)
