Dealer’s Representations and Warranties. Dealer hereby represents and warrants to the Company that: (a) Dealer is willing and possesses the legal authority to provide the services contemplated by this Agreement without violation of applicable laws; (b) Dealer is and shall remain throughout the term of the Agreement a member in good standing of the N.A.S.D. and shall immediately notify the Company should it cease to be a member of the N.A.S.D.; (c) Dealer is and shall remain throughout the term of this Agreement a broker-dealer duly and properly registered and qualified under all applicable laws, rules and regulations, including, but not limited to, all state and federal securities laws, rules and regulations, as may be necessary or appropriate for Dealer to perform and observe all of its duties, obligations and covenants set forth or contemplated by this Agreement; (d) Dealer shall throughout the term of this Agreement comply with the requirements of all applicable laws, rules and regulations, including, but not limited to, federal and state securities laws, the rules, regulations and orders of the Securities and Exchange Commission and the N.A.S.D., in performing and observing all of its duties, obligations and covenants set forth or contemplated by this Agreement; (e) Dealer shall not withhold placing with the Company orders received from Dealer's customers so as to profit itself as a result of such withholding; (f) Dealer shall not offer Shares of any Fund in any state where such Shares are not qualified for sale under the Blue Sky Laws and Regulations of such state or where Dealer is not qualified to act as a dealer, except in appropriate circumstances when under state laws and regulations the Shares or the sales transactions are exempt from qualification or dealer registration is not required; and (g) Dealer shall give the Company at least 30 days advance written notice of any event which will cause an "assignment" of this Agreement (as defined in the 1940 Xxx) xx Dealer or its affiliates.
Appears in 2 contracts
Samples: Selected Dealer Agreement (Cardinal Group), Selected Dealer Agreement (Cardinal Group)
Dealer’s Representations and Warranties. Dealer hereby represents and warrants to the Company that:
(a) Dealer is willing and possesses the legal authority to provide the services contemplated by this Agreement without violation of applicable laws;
(b) Dealer is and shall remain throughout the term of the Agreement a member in good standing of the N.A.S.D. and shall immediately notify the Company should it cease to be a member of the N.A.S.D.;
(c) Dealer is and shall remain throughout the term of this Agreement a broker-dealer duly and properly registered and qualified under all applicable laws, rules and regulations, including, but not limited to, all state and federal securities laws, rules and regulations, as may be necessary or appropriate for Dealer to perform and observe all of its duties, obligations and covenants set forth or contemplated by this Agreement;
(d) Dealer shall throughout the term of this Agreement comply with the requirements of all applicable laws, rules and regulations, including, but not limited to, federal and state securities laws, the rules, regulations and orders of the Securities and Exchange Commission and the N.A.S.D., in performing and observing all of its duties, obligations and covenants set forth or contemplated by this Agreement;
(e) Dealer shall not withhold placing with the Company orders received from Dealer's customers so as to profit itself as a result of such withholding;; and
(f) Dealer shall not offer Shares of any Fund in any state where such Shares are not qualified for sale under the Blue Sky Laws and Regulations of such state or where Dealer is not qualified to act as a dealer, except in appropriate circumstances when under state laws and regulations the Shares or the sales transactions are exempt from qualification or dealer registration is not required; and
(g) Dealer shall give the Company at least 30 days advance written notice of any event which will cause an "assignment" of this Agreement (as defined in the 1940 Xxx) xx Dealer or its affiliates.
Appears in 1 contract
Samples: Selected Dealer Agreement (Roulston Family of Funds)
Dealer’s Representations and Warranties. Dealer hereby represents and warrants to the Company Distributor that:
(a) Dealer is willing and possesses the legal authority to provide the services contemplated by this Agreement without violation of applicable laws;
(b) Dealer is and shall remain throughout the term of the this Agreement a member in good standing of the N.A.S.D. NASD and shall immediately notify the Company Distributor should it cease to be a member of the N.A.S.D.NASD;
(c) Dealer is and shall remain throughout the term of this Agreement a broker-dealer duly and properly registered and qualified under all applicable laws, rules and regulations, including, but not limited to, all state and federal securities laws, rules and regulations, as may be necessary or appropriate for Dealer to perform and observe all of its duties, obligations and covenants set forth or contemplated by this Agreement;
(d) Dealer shall throughout the term of this Agreement comply with the requirements of all applicable laws, rules and regulations, including, but not limited to, federal and state securities laws, the rules, regulations and orders of the Securities and Exchange Commission and the N.A.S.D.NASD, in performing and observing all of its duties, obligations and covenants set forth or contemplated by this Agreement;
(e) Dealer shall not withhold placing with the Company Distributor orders received from Dealer's customers the Client-shareholders so as to profit itself as a result of from such withholding;
(f) Dealer shall not offer Shares of any Fund in any state where such Shares are not qualified for sale under the Blue Sky Laws and Regulations of such state or where Dealer is not qualified to act as a dealer, except in appropriate circumstances when under state laws and regulations the Shares Share or the sales transactions are exempt from qualification or dealer registration is not required; and
(g) Dealer shall give the Company Distributor at least 30 days advance written notice of any event which will cause an "assignment" assignment of this Agreement (as defined in the 1940 0000 Xxx) xx by Dealer or its affiliates.
Appears in 1 contract
Dealer’s Representations and Warranties. Dealer hereby represents and warrants to the Company that:
(a) Dealer is willing and possesses the legal authority to provide the services contemplated by this the Agreement without violation of applicable laws;
(b) Dealer is and shall remain throughout the term of the Agreement a member in good standing of the N.A.S.D. and shall immediately notify the Company should it cease to be a member of the N.A.S.D.;
(c) Dealer is and shall remain throughout the term of this Agreement a broker-dealer duly and properly registered and qualified under all applicable laws, rules and regulations, including, but not limited to, all state and federal securities laws, rules and regulations, as may be necessary or appropriate for Dealer to perform and observe all of its duties, obligations and covenants set forth or contemplated by this Agreement;
(d) Dealer shall throughout the term of this Agreement comply with the requirements of all applicable laws, rules and regulations, including, but not limited to, federal and state securities laws, the rules, regulations and orders of the Securities and Exchange Commission and the N.A.S.D., in performing and observing all of its duties, obligations and covenants set forth or contemplated by this Agreement;
(e) Dealer shall not withhold placing with the Company orders received from Dealer's customers so as to profit itself as a result of such withholding;; and
(f) Dealer shall not offer Shares of any Fund in any state where such Shares are not qualified for sale under the Blue Sky Laws and Regulations of such state or where Dealer is not qualified to act as a dealer, except in appropriate circumstances when under state laws and regulations the Shares or the sales transactions are exempt from qualification or dealer registration is not required; and
(g) Dealer shall give the Company at least 30 days advance written notice of any event which will cause an "assignment" of this Agreement (as defined in the 1940 Xxx) xx Dealer or its affiliates.
Appears in 1 contract
Dealer’s Representations and Warranties. Dealer hereby represents and warrants to the Company that:
(a) Dealer is willing and possesses the legal authority to provide the services contemplated by this the Agreement without violation of applicable laws;
(b) Dealer is and shall remain throughout the term of the this Agreement a member in good standing of the N.A.S.D. and shall immediately notify the Company should it cease to be a member of the N.A.S.D.;
(c) Dealer is and shall remain throughout the term of this Agreement a broker-dealer duly and properly registered and qualified under all applicable laws, rules and regulations, including, but not limited to, all state and federal securities laws, rules and regulations, as may be necessary or appropriate for Dealer to perform and observe all of its duties, obligations and covenants set forth or contemplated by this Agreement;
(d) Dealer shall throughout the term of this Agreement comply with the requirements of all applicable laws, rules and regulations, including, but not limited to, federal and state securities laws, the rules, regulations and orders of the Securities and Exchange Commission and the N.A.S.D., in performing and observing all of its duties, obligations and covenants set forth or contemplated by this Agreement;
(e) Dealer shall not withhold placing with the Company orders received from Dealer's customers so as to profit itself as a result of such withholding;; and
(f) Dealer shall not offer Shares of any Fund in any state where such Shares are not qualified for sale under the Blue Sky Laws and Regulations of such state or where Dealer is not qualified to act as a dealer, except in appropriate circumstances when under state laws and regulations the Shares or the sales transactions are exempt from qualification or dealer registration is not required; and
(g) Dealer shall give the Company at least 30 days advance written notice of any event which will cause an "assignment" of this Agreement (as defined in the 1940 Xxx) xx Dealer or its affiliates.
Appears in 1 contract
Dealer’s Representations and Warranties. Dealer hereby represents and warrants to the Company Distributor that:
(a) Dealer is willing and possesses the legal authority to provide the services contemplated by this Agreement without violation of applicable laws;
(b) Dealer is and shall remain throughout the term of the this Agreement a member in good standing of the N.A.S.D. NASD and shall immediately notify the Company Distributor should it cease to be a member of the N.A.S.D.NASD;
(c) Dealer is and shall remain throughout the term of this Agreement a broker-dealer duly and properly registered and qualified under all applicable laws, rules and regulations, including, but not limited to, all state and federal securities laws, rules and regulations, as may be necessary or appropriate for Dealer to perform and observe all of its duties, obligations and covenants set forth or contemplated by this Agreement;
(d) Dealer shall throughout the term of this Agreement comply with the requirements of all applicable laws, rules and regulations, including, but not limited to, federal and state securities laws, the rules, regulations and orders of the Securities and Exchange Commission and the N.A.S.D.NASD, in performing and observing all of its duties, obligations and covenants set forth or contemplated by this Agreement;
(e) Dealer shall not withhold placing with the Company Distributor orders received from Dealer's customers the Client-shareholders so as to profit itself as a result of from such withholding;
(f) Dealer shall not offer Shares of any Fund in any state where such Shares are not qualified for sale under the Blue Sky Laws and Regulations of such state or where Dealer is not qualified to act as a dealer, except in appropriate circumstances when under state laws and regulations the Shares Share or the sales transactions are exempt from qualification or dealer registration is not required; and
(g) Dealer shall give the Company Distributor at least 30 days advance written notice of any event which will cause an "assignment" assignment of this Agreement (as defined in the 1940 XxxAct) xx by Dealer or its affiliatesaffxxxxxxx.
Appears in 1 contract
