Discretionary Accounts. In the case of a Registered Offering of Securities issued by an Issuer that was not, immediately prior to the filing of the Registration Statement, subject to the requirements of Section 13(d) or 15(d) of the 1934 Act, you will not make sales to any account over which you exercise discretionary authority in connection with such sale, except as otherwise permitted by the applicable AAU for such Offering.
Appears in 153 contracts
Samples: Master Agreement (Nuveen Variable Rate Preferred & Income Fund), Master Agreement (Nuveen Core Plus Impact Fund), Master Agreement (BlackRock Innovation & Growth Trust)
Discretionary Accounts. In the case of a Registered an Offering of Securities issued registered under the 1933 Act by an Issuer that was not, immediately prior to the filing of the Registration Statementrelated registration statement, subject to the requirements of Section 13(d) or 15(d) of the 1934 Act, you will not make sales to any account over which you exercise discretionary authority in connection with such sale, except as otherwise permitted by the applicable AAU us for such OfferingOffering In Writing.
Appears in 102 contracts
Samples: Master Selected Dealers Agreement (Nuveen Variable Rate Preferred & Income Fund), Master Selected Dealers Agreement (BlackRock Innovation & Growth Trust), Master Selected Dealers Agreement (PGIM Short Duration High Yield Opportunities Fund)
Discretionary Accounts. In the case of a Registered Offering of Securities issued by an Issuer that was not, immediately prior to the filing of the Registration Statement, subject to the requirements of Section 13(d) or 15(d) of the 1934 Act, you agree that you will not make sales to any account over which you exercise discretionary authority in connection with such sale, sale except as otherwise permitted by the applicable AAU for such Offering.
Appears in 60 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.)
Discretionary Accounts. In the case of a Registered Offering of Securities issued by an Issuer that was not, immediately prior to the filing of the Registration Statement, subject to the requirements of Section 13(d13(a) or 15(d) of the 1934 Act, you will not make sales to any account over which you exercise discretionary authority in connection with such sale, except as otherwise permitted by the applicable AAU for such Offering.
Appears in 23 contracts
Samples: Master Agreement, Master Agreement, Master Agreement
Discretionary Accounts. In the case of a Registered an Offering of Securities issued registered under the 1933 Act by an Issuer that was not, immediately prior to the filing of the Registration Statementrelated registration statement, subject to the requirements of Section 13(d13(a) or 15(d) of the 1934 Act, you will not make sales to any account over which you exercise discretionary authority in connection with such sale, except as otherwise permitted by the applicable AAU us for such OfferingOffering In Writing.
Appears in 15 contracts
Samples: Master Selected Dealers Agreement (RiverNorth Managed Duration Municipal Income Fund II, Inc.), Dealers Agreement (Cohen & Steers Real Estate Opportunities & Income Fund), Dealers Agreement (PIMCO Access Income Fund)
Discretionary Accounts. In the case of a Registered Offering of Securities issued by an Issuer that was not, immediately prior to the filing of the Registration Statement, subject to the requirements of Section 13(d) or 15(d) of the 1934 Exchange Act, you agree that you will not make sales to any account over which you exercise discretionary authority in connection with such sale, sale except as otherwise permitted by the applicable AAU for such Offering.
Appears in 7 contracts
Samples: RMR Asia Real Estate Fund, Dividend Capital Realty Income Allocation Fund, Master Agreement (RMK Strategic Income Fund Inc)
Discretionary Accounts. In the case of a Registered Offering of Securities issued by an Issuer that was not, immediately prior to the filing of the Registration Statement, subject to the requirements of Section 13(d13(a) or 15(d) of the 1934 Act, you agree that you will not make sales to any account over which you exercise discretionary authority in connection with such sale, sale except as otherwise permitted by the applicable AAU for such Offering.
Appears in 4 contracts
Samples: Master Agreement (Seligman Premium Technology Growth Fund, Inc.), Master Agreement (Dividend Capital Strategic Global Realty Fund), Master Agreement (Western Asset Municipal Defined Opportunity Trust Inc.)
Discretionary Accounts. In the case of a Registered an Offering of Securities issued registered under the1933 Act by an Issuer that was not, immediately prior to the filing of the Registration Statementrelated registration statement, subject to the requirements of Section 13(d) or 15(d) of the 1934 Act, you will not make sales to any account over which you exercise discretionary authority in connection with such sale, except as otherwise permitted by the applicable AAU us for such OfferingOffering In Writing.
Appears in 2 contracts
Samples: Master Selected Dealers Agreement (MainStay CBRE Global Infrastructure Megatrends Fund), Master Selected Dealers Agreement (Western Asset Diversified Income Fund)
Discretionary Accounts. In the case of a Registered an Offering of Securities issued registered under the 1933 Act by an Issuer that was not, immediately prior to the filing of the Registration Statementrelated registration statement, subject to the requirements of Section 13(d13(da) or 15(d) of the 1934 Act, you will not make sales to any account over which you exercise discretionary authority in connection with such sale, except as otherwise permitted by the applicable AAU us for such OfferingOffering In Writing.
Appears in 1 contract
Samples: Master Selected Dealers Agreement
Discretionary Accounts. In the case of a Registered Offering of Securities issued by an Issuer that was not, immediately prior to the filing of the Registration Statement, subject to the requirements of Section 13(d13(da) or 15(d) of the 1934 Act, you will not make sales to any account over which you exercise discretionary authority in connection with such sale, except as otherwise permitted by the applicable AAU for such Offering.
Appears in 1 contract
Samples: Master Agreement