Investigations and Proceedings. The parties to this Agreement agree to use commercially reasonable efforts to cooperate in any securities regulatory investigation or proceeding or judicial proceeding with respect to each party’s activities under this Agreement and, to the extent not prohibited by any regulatory body or court with jurisdiction, to promptly notify the other party of any such investigation or proceeding.
Appears in 5 contracts
Samples: Dealer Agreement (M Funds Trust), Dealer Agreement (Strategas Trust), Dealer Agreement (M Funds Trust)
Investigations and Proceedings. The parties to this Agreement agree to use commercially reasonable efforts to cooperate in any securities regulatory investigation or proceeding or judicial proceeding with respect to each party’s 's activities under this Agreement and, and promptly to the extent not prohibited by any regulatory body or court with jurisdiction, to promptly notify the other party of any such investigation or proceeding.
Appears in 4 contracts
Samples: Dealer Agreement (TSC Uits 18), Dealer Agreement (TSC Uits), Dealer Agreement (Advisors Disciplined Trust 230)
Investigations and Proceedings. The parties to this Agreement agree to use commercially reasonable efforts to cooperate in any securities regulatory investigation or proceeding or judicial proceeding with respect to each party’s activities under this Agreement and, and promptly to the extent not prohibited by any regulatory body or court with jurisdiction, to promptly notify the other party of any such investigation or proceeding.
Appears in 3 contracts
Samples: Dealer Agreement (Smart Trust, Zacks Diversified Equity & Corporate Bond Trust, Series 9), Dealer Agreement (Equinox Trust), Dealer Agreement (Smart Trust, Tax Free Income Trust (2009 Series A))
Investigations and Proceedings. The parties to this Agreement agree to use commercially reasonable efforts to cooperate in any securities regulatory investigation or proceeding or judicial proceeding with respect to each party’s activities under this Agreement and, to the extent not prohibited by any regulatory body or court with jurisdiction, to promptly notify the other party of any such investigation or proceeding.
Appears in 1 contract
