Compliance with Securities Laws. The Fund represents that it is registered as a closed-end management investment company under the 1940 Act, and agrees that it will comply with the provisions of the 1940 Act and of the rules and regulations thereunder. The Fund and the Distributor each agree to comply with the applicable terms and provisions of the 1940 Act, the 1933 Act and, subject to the provisions of Section 4(d), applicable state “Blue Sky” laws. The Distributor agrees to comply with the applicable terms and provisions of the 1934 Act.
Appears in 22 contracts
Samples: Distribution Agreement (iDirect Private Markets Fund), Distribution Agreement (iCapital KKR Private Markets Fund), Distribution Agreement (OFI Carlyle Private Credit Fund)
Compliance with Securities Laws. The Fund represents that it is registered as a closedan open-end management investment company under the 1940 Act, and agrees that it will materially comply with all the provisions of the 1940 Act and of the rules and regulations thereunder. The Fund and the Distributor each agree to comply with all of the applicable terms and provisions of the 1940 Act, the 1933 Act and, subject to the provisions of Section 4(d), all applicable state “"Blue Sky” " laws. The Distributor agrees to comply with all of the applicable terms and provisions of the 1934 Act.
Appears in 10 contracts
Samples: Distribution Agreement (Tiff Investment Program Inc), Distribution Agreement (Glenmede Fund Inc), Distribution Agreement (Samco Fund Inc)
Compliance with Securities Laws. The Fund represents that it is registered as a closeddiversified open-end management investment company under the 1940 Act, and agrees that it will comply with the provisions of the 1940 Act and of the rules and regulations thereunder. The Fund and the Distributor each agree to comply with the applicable terms and provisions of the 1940 Act, the 1933 Act and, subject to the provisions of Section 4(d3(d), applicable state “"Blue Sky” " laws. The Distributor agrees to comply with the applicable terms and provisions of the 1934 ActSecurities Exchange Act of 1934.
Appears in 8 contracts
Samples: Distribution Agreement (Morgan Stanley Institutional Liquidity Funds), Distribution Agreement (Morgan Stanley Institutional Fund Inc), Distribution Agreement (Morgan Stanley Strategic Adviser Fund Inc)
Compliance with Securities Laws. The Fund represents that it is registered as a closeddiversified open-end management investment company under the 1940 Act, and agrees that it will comply with all of the provisions of the 1940 Act and of the rules and regulations thereunder. The Fund and the Distributor each agree to comply with all of the applicable terms and provisions of the 1940 Act, the 1933 Act and, subject to the provisions of Section 4(d), all applicable state “"Blue Sky” " laws. The Distributor agrees to comply with all of the applicable terms and provisions of the 1934 ActSecurities Exchange Act of 1934.
Appears in 3 contracts
Samples: Distribution Agreement (North Track Funds Inc), Distribution Agreement (Principal Preservation Portfolios Inc), Distribution Agreement (Principal Preservation Portfolios Inc)
Compliance with Securities Laws. The Fund represents that it is registered as a closedan open-end management investment company under the 1940 Act, and agrees that it will comply with the provisions of the 1940 Act and of the rules and regulations thereunder. The Fund and the Distributor each agree to comply with the applicable terms and provisions of the 1940 Act, the 1933 Act and, subject to the provisions of Section 4(d3(d), applicable state “Blue Sky” laws. The Distributor agrees to comply with the applicable terms and provisions of the 1934 ActSecurities Exchange Act of 1934.
Appears in 2 contracts
Samples: Distribution Agreement (AIP Series Trust), Distribution Agreement (Morgan Stanley Institutional Liquidity Funds)
Compliance with Securities Laws. The Fund represents that it is registered as a closedan open-end management investment company under the 1940 Act, and agrees that it will comply with all the provisions of the 1940 Act and of the rules and regulations thereunder. The Fund and the Distributor each agree to comply with all of the applicable terms and provisions of the 1940 Act, the 1933 Act and, subject to the provisions of Section 4(d), all applicable state “"Blue Sky” " laws. The Distributor agrees to comply with all of the applicable terms and provisions of the 1934 Act.
Appears in 2 contracts
Samples: Distribution Agreement (Builders Fixed Income Fund Inc), Distribution Agreement (Builders Fixed Income Fund Inc)
Compliance with Securities Laws. The Fund represents that it is registered as a closed-end management investment company under the 1940 Act, and agrees that it will comply in all material respects with the provisions of the 1940 Act and of the rules and regulations thereunder. The Fund and the Distributor Placement Agent each agree to comply in all material respects with the applicable terms and provisions of the 1940 Act, the 1933 Act and, subject to the provisions of Section 4(d), applicable state “Blue Sky” laws. The Distributor Placement Agent agrees to comply in all material respects with the applicable terms and provisions of the 1934 Act.
Appears in 2 contracts
Samples: Placement Agency Agreement (Legg Mason Permal Global Active Strategies Fund), Placement Agency Agreement (Legg Mason Permal Global Active Strategies TEI Fund)
Compliance with Securities Laws. The Fund represents represent that it is registered as a closed-end management investment company under the 1940 Act, and agrees that it will comply with the provisions of the 1940 Act and of the rules and regulations thereunder. The Fund and the Distributor each agree to comply with all of the applicable terms and provisions of the 1940 Act, the 1933 Act and, subject to the provisions of Section 4(d), all applicable state “"Blue Sky” " laws. The Distributor agrees to comply with all of the applicable terms and provisions of the 1934 ActSecurities Exchange Act of 1934.
Appears in 2 contracts
Samples: Distribution Agreement (Rochdale High Yield Advances Fund LLC), Distribution Agreement (Rochdale Structured Claims Fixed Income Fund LLC)
Compliance with Securities Laws. The Fund represents that it is registered as a closed-end management investment company under the 1940 Act, and agrees that it will comply with the provisions of the 1940 Act and of the rules and regulations thereunder. The Fund and the Distributor each agree to comply with the applicable terms and provisions of the 1940 Act, the 1933 Act and, subject to the provisions of Section 4(d3(d), applicable state “Blue Sky” laws. The Distributor agrees to comply with the applicable terms and provisions of the 1934 Act.
Appears in 1 contract
Samples: Distribution Agreement (BNY Mellon Alcentra Global Multi-Strategy Credit Fund, Inc.)
Compliance with Securities Laws. The Fund represents represent that it is registered as a closed-end management investment company under the 1940 Act, and agrees that it will comply with the provisions of the 1940 Act and of the rules and regulations thereunder0000 Xxx. The Fund and the Distributor each agree to comply with all of the applicable terms and provisions of the 1940 Act, the 1933 Act and, subject to the provisions of Section 4(d), all applicable state “Blue Sky” laws. The Distributor agrees to comply with all of the applicable terms and provisions of the 1934 ActSecurities Exchange Act of 1934.
Appears in 1 contract
Samples: Distribution Agreement (City National Rochdale Structured Claims Fixed Income Fund LLC)
Compliance with Securities Laws. The Fund represents that ------------------------------- it is registered as a closedan open-end management investment company under the 1940 Act, and agrees that it will materially comply with all the provisions of the 1940 Act and of the rules and regulations thereunder. The Fund and the Distributor each agree to comply with all of the applicable terms and provisions of the 1940 Act, the 1933 Act and, subject to the provisions of Section 4(d), all applicable state “"Blue Sky” " laws. The Distributor agrees to comply with all of the applicable terms and provisions of the 1934 Act.
Appears in 1 contract
Samples: Distribution Agreement (Tiff Investment Program Inc)
Compliance with Securities Laws. The Fund represents that it is ------------------------------- registered as a closedan open-end management investment company under the 1940 Act, and agrees that it will comply with all the provisions of the 1940 Act and of the rules and regulations thereunder. The Fund and the Distributor each agree to comply with all of the applicable terms and provisions of the 1940 Act, the 1933 Act and, subject to the provisions of Section 4(d), all applicable state “"Blue Sky” " laws. The Distributor agrees to comply with all of the applicable terms and provisions of the 1934 Act.
Appears in 1 contract
Compliance with Securities Laws. The Fund represents Funds represent that it is they are registered as a closed-end management investment company companies under the 1940 Act, and agrees that it will comply with the provisions Act Each of the 1940 Act and of the rules and regulations thereunder. The Fund Funds and the Distributor each agree to comply with all of the applicable terms and provisions of the 1940 Act, the 1933 Act and, subject to the provisions of Section 4(d), all applicable state “"Blue Sky” " laws. The Distributor agrees to comply with all of the applicable terms and provisions of the 1934 ActSecurities Exchange Act of 1934.
Appears in 1 contract
Samples: Distribution Agreement (Rochdale Core Alternative Strategies Fund LLC)
Compliance with Securities Laws. The Fund Funds represents that it is they are registered as a closedan open-end management investment company under the 1940 Act, and agrees agree that it they will comply with all the provisions of the 1940 Act and of the rules and regulations thereunder. The Fund Funds and the Distributor each agree to comply with all of the applicable terms and provisions of the 1940 Act, the 1933 Act and, subject to the provisions of Section 4(d), all applicable state “"Blue Sky” " laws. The Distributor agrees to comply with all of the applicable terms and provisions of the 1934 Act.
Appears in 1 contract
Compliance with Securities Laws. (a) The Fund represents that it is registered as a closed-end management investment company under the 1940 Act, and agrees that it will comply with the provisions of the 1940 Act and of the rules and regulations thereunder. The Fund and the Distributor each agree to comply with the applicable terms and provisions of the 1940 Act, the 1933 Act and, subject to the provisions of Section 4(d), applicable state “Blue Sky” laws. The Distributor agrees to comply with the applicable terms and provisions of the 1934 Act.
Appears in 1 contract
Samples: Distribution Agreement (Guggenheim Energy & Income Fund)
Compliance with Securities Laws. The Fund represents that it is registered as a closed-end management investment company under the 1940 Act, and agrees that it will comply with the provisions of the 1940 Act and of the rules and regulations thereunder1000 Xxx. The Fund and the Distributor each agree to comply with all of the applicable terms and provisions of the 1940 Act, the 1933 Act and, subject to the provisions of Section 4(d), all applicable state “"Blue Sky” " laws. The Distributor agrees to comply with all of the applicable terms and provisions of the 1934 ActSecurities Exchange Act of 1934.
Appears in 1 contract
Samples: Distribution Agreement (Rochdale Alternative Total Return Fund LLC)
Compliance with Securities Laws. The Fund represents that it is registered as a closedan open-end management investment company under the 1940 Act, and agrees that it will comply with all the provisions of the 1940 Act and of the rules and regulations thereunder. The Fund and the Distributor each parties agree to comply with all of the applicable terms and provisions of the 1940 Act, the 1933 Act and, subject to the provisions of Section 4(d), all applicable state “"Blue Sky” " laws. The Distributor agrees and the Sub- Distributor each agree to comply with all of the applicable terms and provisions of the 1934 Act.
Appears in 1 contract
Samples: Sub Distribution Agreement (Shepherd Street Funds Inc)
