Dealer Registration. (a) Dealer represents and warrants that (i) it is registered as a broker-dealer under the Securities Exchange Act of 1934 (the “1934 Act”) or is exempt from registration as a broker-dealer under the 1934 Act, (ii) it is qualified as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares or is exempt from registration as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares, and, (iii) if it sells shares in additional states or jurisdictions in the future, will become qualified to act as a dealer in each such state or jurisdiction prior to selling any Fund shares or will confirm an exemption from registration as a broker-dealer in each such state or jurisdiction prior to selling any Fund shares.
Appears in 21 contracts
Samples: Dealer Agreement (RBC Funds Trust), Dealer Agreement (Artio Select Opportunities Fund Inc.), Dealer Agreement (Artio Global Investment Funds)
Dealer Registration. (a) Dealer represents and warrants that it (i) it is registered as a broker-dealer under the Securities Exchange Act of 1934 (the “"1934 Act”") or is exempt from registration as a broker-dealer under the 1934 Act, (ii) it is qualified as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares or is exempt from registration as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares, and, (iii) if it sells shares Shares in additional states or jurisdictions in the future, will become qualified to act as a broker-dealer in each such state or jurisdiction prior to selling any Fund shares Shares or will confirm an exemption from registration as a broker-dealer in each such state or jurisdiction prior to selling any Fund sharesShares.
Appears in 10 contracts
Samples: Dealer Agreement (First American Funds Inc), Dealer Agreement (First American Funds Inc), Dealer Agreement (First American Investment Funds Inc)
Dealer Registration. (a) Dealer represents and warrants that it (i) it is registered as a broker-dealer under the Securities Exchange Act of 1934 (the “1934 Act”) or is exempt from registration as a broker-dealer under the 1934 Act, (ii) it is qualified as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares or is exempt from registration as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares, and, (iii) if it sells shares Shares in additional states or jurisdictions in the future, will become qualified to act as a broker-dealer in each such state or jurisdiction prior to selling any Fund shares Shares or will confirm an exemption from registration as a broker-dealer in each such state or jurisdiction prior to selling any Fund sharesShares.
Appears in 8 contracts
Samples: Dealer Agreement (First American Funds Inc), Dealer Agreement (First American Funds Inc), Dealer Agreement (First American Funds Inc)
Dealer Registration. (a) Dealer represents and warrants that (i) it is registered as a broker-dealer under the Securities Exchange Act of 1934 (the “"1934 Act”") or is exempt from registration as a broker-dealer under the 1934 Act, (ii) it is qualified as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares or is exempt from registration as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares, and, (iii) if it sells shares in additional states or jurisdictions in the future, will become qualified to act as a dealer in each such state or jurisdiction prior to selling any Fund shares or will confirm an exemption from registration as a broker-dealer in each such state or jurisdiction prior to selling any Fund shares.
Appears in 7 contracts
Samples: Dealer Agreement (Julius Baer Investment Funds), Dealer Agreement (Julius Baer Global Equity Fund Inc), Dealer Agreement (First American Funds Inc)
Dealer Registration. (a) The Dealer represents and warrants that it (i) it is registered as a broker-dealer under the Securities Exchange Act of 1934 (the “"1934 Act”") or is exempt from registration as a broker-dealer under the 1934 Act, (ii) it is qualified as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares or is exempt from registration as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares, and, (iii) if it sells shares in additional states or jurisdictions in the future, will become qualified to act as a dealer in each such state or jurisdiction prior to selling any Fund shares or will confirm an exemption from registration as a broker-dealer in each such state or jurisdiction prior to selling any Fund shares.
Appears in 5 contracts
Samples: Dealer Agreement (First American Investment Funds Inc), Dealer Agreement (First American Strategy Funds Inc), Dealer Agreement (First American Investment Funds Inc)
Dealer Registration. (a) Dealer represents and warrants that (i) it is registered as a broker-dealer under the Securities Exchange Act of 1934 (the “1934 Act”) or is exempt from registration as a broker-dealer under the 1934 Act, (ii) it is qualified as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares or is exempt from registration as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares, and, (iii) if it sells shares Shares in additional states or jurisdictions in the future, will become qualified to act as a dealer in each such state or jurisdiction prior to selling any Fund shares Shares or will confirm an exemption from registration as a broker-dealer in each such state or jurisdiction prior to selling any Fund sharesShares.
Appears in 5 contracts
Samples: Dealer Agreement (Thompson Im Funds Inc), Dealer Agreement (Thompson Im Funds Inc), Dealer Agreement (Thompson Im Funds Inc)
Dealer Registration. (a) The Dealer represents and warrants that it (i) it is registered as a broker-dealer under the Securities Exchange Act of 1934 (the “1934 Act”) or is exempt from registration as a broker-dealer under the 1934 Act, (ii) it is qualified as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares or is exempt from registration as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares, and, (iii) if it sells shares in additional states or jurisdictions in the future, will become qualified to act as a dealer in each such state or jurisdiction prior to selling any Fund shares or will confirm an exemption from registration as a broker-dealer in each such state or jurisdiction prior to selling any Fund shares.
Appears in 1 contract
Dealer Registration. (a) Dealer represents and warrants that it (i) it is registered as a broker-dealer under the Securities Exchange Act of 1934 (the “1934 Act”) or is exempt from registration as a broker-dealer under the 1934 Act, (ii) it is qualified as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares or is exempt from registration as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares, and, (iii) if it sells shares in additional states or jurisdictions in the future, will become qualified to act as a dealer in each such state or jurisdiction prior to selling any Fund shares or will confirm an exemption from registration as a broker-dealer in each such state or jurisdiction prior to selling any Fund shares.
Appears in 1 contract
Samples: Dealer Selling Agreement (Tortoise Tax-Advantaged Social Infrastructure Fund, Inc.)
Dealer Registration. (a) Dealer represents and warrants that it (i) it is registered as a broker-dealer under the Securities Exchange Act of 1934 (the “"1934 Act”") or is exempt from registration as a broker-dealer under the 1934 Act, (ii) it is qualified as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares or is exempt from registration as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares, and, (iii) if it sells shares in additional states or jurisdictions in the future, will become qualified to act as a dealer in each such state or jurisdiction prior to selling any Fund shares or will confirm an exemption from registration as a broker-dealer in each such state or jurisdiction prior to selling any Fund shares.
Appears in 1 contract
Samples: Form of Dealer Agreement (USQ Core Real Estate Fund)
Dealer Registration. (a) Dealer represents and warrants that (i) it is registered as a broker-dealer under the Securities Exchange Act of 1934 (the “"1934 Act”") or is exempt from registration as a broker-dealer under the 1934 Act, (ii) it is qualified as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares or is exempt from registration as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares, and, (iii) if it sells shares Shares in additional states or jurisdictions in the future, will become qualified to act as a dealer in each such state or jurisdiction prior to selling any Fund shares Shares or will confirm an exemption from registration as a broker-dealer in each such state or jurisdiction prior to selling any Fund sharesShares.
Appears in 1 contract
Dealer Registration. (a) Dealer represents and warrants that it (i) it is registered as a broker-dealer under the Securities Exchange Act of 1934 (the “"1934 Act”") or is exempt from registration as a broker-dealer under the 1934 Act, (ii) it is qualified as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares or is exempt from registration as a broker-dealer in all states or other jurisdictions in which it sells Fund Shares, and, (iii) if it sells shares in additional states or jurisdictions in the future, will become qualified to act as a dealer in each such state or jurisdiction prior to selling any Fund shares Shares or will confirm an exemption from registration as a broker-dealer in each such state or jurisdiction prior to selling any Fund sharesShares.
Appears in 1 contract
