Description of the Adviser. The description of the Adviser and its business and the statements attributable to the Adviser in the Preliminary Prospectus and Prospectus complied and comply in all material respects with the provisions of the 1933 Act, the 1940 Act, the Advisers Act, the 1940 Act Rules and Regulations and the Advisers Act Rules and Regulations and did not and will not contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.
Appears in 28 contracts
Samples: Underwriting Agreement (Rivernorth Opportunities Fund, Inc.), Underwriting Agreement (Eagle Growth & Income Opportunities Fund), Underwriting Agreement (AllianzGI Convertible & Income 2024 Target Term Fund)
Description of the Adviser. The description of the Adviser and its business and the statements attributable to the Adviser in the Preliminary Prospectus and Prospectus complied and comply in all material respects with the provisions of the 1933 Securities Act, the 1940 Act, the Advisers Act, the 1940 Investment Company Act Rules and Regulations and the Advisers Act Rules and Regulations and did not and will not contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.
Appears in 15 contracts
Samples: Sales Agreement (Calamos Global Total Return Fund), Sales Agreement (Calamos Convertible & High Income Fund), Sales Agreement (Calamos Convertible Opportunities & Income Fund)
Description of the Adviser. The description of the Adviser and its business and the statements attributable attributed to the Adviser in the Preliminary Prospectus and Prospectus complied and comply in all material respects with the provisions of the 1933 Act, the 1940 Act, the Advisers Act, the 1940 Act Rules and Regulations and the Advisers Act Rules and Regulations and did not and will not contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.
Appears in 4 contracts
Samples: Underwriting Agreement (Nuveen Energy MLP Total Return Fund), Underwriting Agreement (Nuveen Energy MLP Total Return Fund), Underwriting Agreement (Nuveen Mortgage Opportunity Term Fund)
Description of the Adviser. The description of the Adviser and its business and the statements attributable attributed to the Adviser in the Preliminary Prospectus and Prospectus complied and comply in all material respects with the provisions of the 1933 Act, the 1940 Act, the Advisers Act, the 1940 Act Rules and Regulations and the Advisers Act Rules and Regulations and did not and will not contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.
Appears in 3 contracts
Samples: Underwriting Agreement (Flaherty & Crumrine Dynamic Preferred & Income Fund Inc), Underwriting Agreement (Neuberger Berman MLP Income Fund Inc.), Underwriting Agreement (Nuveen Multi-Currency Short-Term Government Income Fund)
Description of the Adviser. The description of the Adviser and its business and the statements attributable to the Adviser in the Original Registration Statement, the Preliminary Prospectus and Prospectus complied and comply in all material respects with the provisions of the 1933 Act, the 1940 Act, the Advisers Act, the 1940 Act Rules and Regulations and the Advisers Act Rules and Regulations and did not and will not contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.
Appears in 2 contracts
Samples: Underwriting Agreement (RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.), RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Description of the Adviser. The description of the Adviser and its business in the Registration Statement and the statements attributable to the Adviser in the Preliminary Prospectus (and Prospectus any amendment or supplement thereto) complied and comply in all material respects with the provisions of the 1933 Act, the 1940 Act, the Advisers Act, the 1940 Act Rules and Regulations and the Advisers Act Rules and Regulations and did not and will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.
Appears in 2 contracts
Samples: Form of Agreement (Gabelli Dividend & Income Trust), Gabelli Dividend & Income Trust
Description of the Adviser. The description of the Adviser and its business and the statements attributable to the Adviser in the Preliminary Prospectus and Prospectus complied and comply in all material respects with the provisions of the 1933 Act, the 1940 Act, the Advisers Act, the 1940 Act Rules and Regulations and the Advisers Act Rules and Regulations and did not and will not contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.
Appears in 2 contracts
Samples: Underwriting Agreement (Eaton Vance Floating-Rate 2022 Target Term Trust), Underwriting Agreement (Eaton Vance High Income 2021 Target Term Trust)
Description of the Adviser. The description of the Adviser and its business and the statements attributable to the Adviser in the Preliminary Prospectus Registration Statement, the General Disclosure Package and Prospectus complied and comply in all material respects with the provisions of the 1933 Act, the 1940 Act, the Advisers Act, the 1940 Act Rules and Regulations and the Advisers Act Rules and Regulations and did not and will not contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.
Appears in 2 contracts
Samples: Underwriting Agreement (Tekla Healthcare Opportunities Fund), Underwriting Agreement (Tekla World Healthcare Fund)
Description of the Adviser. The description of the Adviser and its business and the statements attributable to the Adviser in the Preliminary Prospectus and Prospectus complied and comply complies in all material respects with the provisions of the 1933 Securities Act, the 1940 ActInvestment Company Act and, the Advisers Act, the 1940 Act Rules and Regulations and the Advisers Act Rules and Regulations and did not and will does not contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.
Appears in 1 contract
Samples: Sales Agreement (Rivernorth Opportunities Fund, Inc.)
Description of the Adviser. The description of the Adviser and its business and the statements attributable attributed to the Adviser in the Registration Statement, the Preliminary Prospectus and Prospectus complied and comply in all material respects with the provisions of the 1933 Act, the 1940 Act, the Advisers Act, the 1940 Act Rules and Regulations and the Advisers Act Rules and Regulations and did not and will not contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.
Appears in 1 contract
Samples: Underwriting Agreement (Nuveen Preferred & Income 2022 Term Fund)
Description of the Adviser. The description of the Adviser and its business and the statements attributable to the Adviser in the Preliminary Prospectus and Prospectus complied and comply in all material respects with the provisions of the 1933 Act, the 1940 Act, the Advisers Securities Act, the 1940 Act Rules and Regulations and the Advisers Act Rules and Regulations and did not and will not contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.
Appears in 1 contract
Samples: Equity Distribution Agreement (DNP Select Income Fund Inc)
Description of the Adviser. The description of the Adviser and its business and the statements attributable to the Adviser in the Preliminary Prospectus and Prospectus complied and comply in all material respects with the provisions of the 1933 Act, the 1940 Act, the Advisers Act, Act and the 1940 Act Rules and Regulations and the Advisers Act Rules and Regulations and did not and will not contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.
Appears in 1 contract
Samples: Underwriting Agreement (Center Coast MLP & Infrastructure Fund)
Description of the Adviser. The description of the Adviser and its business in the Registration Statement and the statements attributable Prospectus (and any amendment or supplement to the Adviser in the Preliminary Prospectus and Prospectus either of them) complied and comply in all material respects complies with the provisions of the 1933 Act, the 1940 Act, the Advisers Act, the 1940 Act Rules and Regulations and the Advisers Act Rules and Regulations and did not and will does not contain an any untrue statement of a material fact or omit to state a any material fact required to be stated therein or necessary in order to make the statements therein(in the case of the Prospectus, in light of the circumstances under which they were made, ) therein not misleading.
Appears in 1 contract
Samples: Purchase Agreement (Duff & Phelps Utility & Corporate Bond Trust Inc)
Description of the Adviser. The description of the Adviser and its business and the statements attributable to the Adviser in the Registration Statement, the Preliminary Prospectus and Prospectus complied and comply in all material respects with the provisions of the 1933 Act, the 1940 Act, the Advisers Act, the 1940 Act Rules and Regulations and the Advisers Act Rules and Regulations and did not and will not contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.
Appears in 1 contract
Samples: Underwriting Agreement (Dreyfus Alcentra Global Credit Income 2024 Target Term Fund, Inc.)
Description of the Adviser. The description of the Adviser and its business and the statements attributable to the such Adviser in the Preliminary Registration Statement and the Prospectus (and Prospectus any amendment or supplement to either of them) complied and comply in all material respects with the provisions of the 1933 Act, the 1940 Act, the Advisers Act, the 1940 Act Rules and Regulations and the Advisers Act Rules and Regulations and did not is true and will correct and does not contain an any untrue statement of a material fact or omit to state a any material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, therein not misleading.
Appears in 1 contract
Samples: Purchase Agreement (Nuveen Global Government Enhanced Income Fund)
