Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules and Regulations, from acting under the Investment Management Agreement as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 43 contracts
Samples: Underwriting Agreement (Nuveen California Amt-Free Municipal Income Fund), Underwriting Agreement (Nuveen California Dividend Advantage Municipal Fund 3), Underwriting Agreement (Nuveen California Dividend Advantage Municipal Fund 3)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 24 contracts
Samples: Sales Agreement (Tortoise MLP Fund, Inc.), Sales Agreement (Tortoise Energy Infrastructure Corp), Equity Distribution Agreement (Tortoise Energy Capital Corp)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, the Adviser Act Rules and Regulations, the 1940 Act, the Rules and Regulations or the Advisers 1940 Act Rules and Regulations, from acting under the Investment Management Advisory Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 23 contracts
Samples: Underwriting Agreement (Gabelli Dividend & Income Trust), Underwriting Agreement (Priority Income Fund, Inc.), Underwriting Agreement (Gabelli Multimedia Trust Inc.)
Investment Adviser Status. The Investment Adviser Each of Advisers is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement and the Sub-Advisory Agreement for the Trust as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 16 contracts
Samples: Management Agreement (Blackrock Limited Duration Income Trust), Form of Purchase Agreement (Blackrock Strategic Dividend Achievers Trust), Blackrock Preferred Opportunity Trust
Investment Adviser Status. The Investment Adviser Each of the Advisers is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 14 contracts
Samples: Purchase Agreement (Neuberger Berman California Intermediate Municipal Fund Inc), Purchase Agreement (Neuberger Berman New York Intermediate Municipal Fund Inc), Purchase Agreement (Neuberger Berman New York Intermediate Municipal Fund Inc)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 8 contracts
Samples: Underwriting Agreement (Nuveen Build America Bond Fund), Underwriting Agreement (Nuveen Build America Bond Fund), Underwriting Agreement (Nuveen Enhanced Municipal Value Fund)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations Act or the Advisers Investment Company Act Rules and Regulations, from acting under the Investment Management Advisory Agreement as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 7 contracts
Samples: Sales Agreement (Guggenheim Taxable Municipal Managed Duration Trust), Sales Agreement (Guggenheim Strategic Opportunities Fund), Sales Agreement (Guggenheim Credit Allocation Fund)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, the 1940 ActAdvisers Act Regulations, the Rules and Regulations 1940 Act or the Advisers 1940 Act Rules and Regulations, Regulations from acting under the Investment Management Agreement as contemplated by the Registration Statement, each preliminary prospectus the Time of Sale Prospectus and the Prospectus.
Appears in 7 contracts
Samples: Underwriting Agreement (Nuveen AMT-Free Municipal Credit Income Fund), Underwriting Agreement (Nuveen AMT-Free Municipal Credit Income Fund), Underwriting Agreement (Nuveen AMT-Free Quality Municipal Income Fund)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement for the Trust as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 6 contracts
Samples: Purchase Agreement (Clough Global Allocation Fund), Clough Global Equity Fund, Clough Global Equity Fund
Investment Adviser Status. The Investment Adviser Each of the Advisers is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under under, as applicable, the Investment Management Agreement and the Sub-Advisory Agreement for the Trust as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 5 contracts
Samples: Purchase Agreement (BlackRock Enhanced Dividend Achievers Trust), Management Agreement (BlackRock Defined Opportunity Credit Trust), Purchase Agreement (BlackRock Global Equity Income Trust)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (Gabelli Equity Trust Inc), Purchase Agreement (Gabelli Global Gold, Natural Resources & Income Trust), Purchase Agreement (Gabelli Equity Trust Inc)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules and Regulations, from acting under the Investment Management Agreement as contemplated by the Registration Statement, each preliminary prospectus prospectus, the Time of Sale Prospectus and the Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (Nuveen Floating Rate Income Fund), Underwriting Agreement (Nuveen Floating Rate Income Opportunity Fund), Underwriting Agreement (Nuveen Senior Income Fund)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 4 contracts
Samples: Purchase Agreement (Tortoise Energy Capital Corp), Form of Purchase Agreement (Tortoise Energy Infrastructure Corp), Purchase Agreement (Tortoise Energy Infrastructure Corp)
Investment Adviser Status. The Investment Adviser Manager is duly registered and in good standing with the Commission as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations thereunder, from acting performing its obligations under the Investment Management Agreement as contemplated by described in the Management Agreement, the Registration Statement, each preliminary prospectus Time of Sale Information and the Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (Western Asset Mortgage Capital Corp), Underwriting Agreement (Western Asset Mortgage Capital Corp), Underwriting Agreement (Western Asset Mortgage Capital Corp)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, the 1940 Investment Company Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations of the Commission under such acts, from acting under the Investment Management Advisory Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus Prospectus and the Time of Sale Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (Salient MLP & Energy Infrastructure Fund), Administration Agreement (Tortoise Pipeline & Energy Fund, Inc.), Underwriting Agreement (Salient MLP & Energy Infrastructure Fund)
Investment Adviser Status. The Investment Adviser Manager is duly registered and in good standing with the Commission as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations thereunder, from acting performing its obligations under the Investment Management Agreement as contemplated by described in the Management Agreement, the Registration Statement, each preliminary prospectus General Disclosure Package and the Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Western Asset Mortgage Capital Corp), Equity Distribution Agreement (Western Asset Mortgage Capital Corp), Underwriting Agreement (Western Asset Mortgage Capital Corp)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules and Regulations, from acting under the Investment Management Advisory Agreement for the Company as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 3 contracts
Samples: Selling Agent Agreement (Priority Income Fund, Inc.), Selling Agent Agreement (Priority Income Fund, Inc.), Selling Agent Agreement (Priority Income Fund, Inc.)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations of the Commission under such acts, from acting under the Investment Management Advisory Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus General Disclosure Package and the Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Tortoise Energy Infrastructure Corp), Underwriting Agreement (Tortoise Energy Capital Corp), Underwriting Agreement (Tortoise Energy Infrastructure Corp)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 3 contracts
Samples: Equity Distribution Agreement (Nuveen Municipal Value Fund Inc), Equity Distribution Agreement (Nuveen Municipal High Income Opportunity Fund 2), Equity Distribution Agreement (Nuveen Municipal High Income Opportunity Fund 2)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations of the Commission under such acts, from acting under the Investment Management Advisory Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Gabelli Healthcare & WellnessRx Trust), Underwriting Agreement (Tortoise Energy Capital Corp), Underwriting Agreement (Tortoise Energy Infrastructure Corp)
Investment Adviser Status. The Investment Each Adviser is duly registered and in good standing with the Commission as an investment adviser under the each Advisers Act, and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement or the Sub-Advisory Agreement, as applicable, for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 3 contracts
Samples: Equity Distribution Agreement (Nuveen Floating Rate Income Fund), Equity Distribution Agreement (Nuveen Floating Rate Income Opportunity Fund), Equity Distribution Agreement (Nuveen Senior Income Fund)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 2 contracts
Samples: Evergreen Income Advantage Fund, Evergreen Income Advantage Fund
Investment Adviser Status. The Investment Adviser Each of the Advisers is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, or the Advisers Act Rules and Regulations or the Advisers and 1940 Act Rules and Regulations, from acting under the Investment Management Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 2 contracts
Samples: Purchase Agreement (Neuberger Berman Dividend Advantage Fund Inc), Purchase Agreement (Neuberger Berman Dividend Advantage Fund Inc)
Investment Adviser Status. The Investment Such Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement and the Investment Sub-Advisory Agreement to which it is a party as contemplated by the Registration Statement, each preliminary prospectus the Statutory Prospectus and the Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Brookfield Global Listed Infrastructure Income Fund Inc.), Guggenheim Energy & Income Fund
Investment Adviser Status. The Investment Adviser Each of the Advisers is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under under, as applicable, the Investment Management Agreement and the Sub-Advisory Agreements for the Trust as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 2 contracts
Samples: Purchase Agreement (BlackRock Preferred & Equity Advantage Trust), BlackRock Preferred & Equity Advantage Trust
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules and Regulations, the 1940 Act or the 1940 Act Rules and Regulations from acting under the Investment Management Advisory Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and Prospectus (or any amendment or supplement thereto). There does not exist any proceeding or any facts or circumstances the Prospectusexistence of which could lead to any proceeding which might adversely affect the registration of the Investment Adviser with the Commission.
Appears in 2 contracts
Samples: Purchase Agreement (Gabelli Global Deal Fund), Gabelli Global Utility & Income Trust
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 2 contracts
Samples: Purchase Agreement (Duff & Phelps Utility & Corporate Bond Trust Inc), Flaherty & Crumrine/Claymore Total Return Fund Inc
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 2 contracts
Samples: Eaton Vance Tax-Managed Buy-Write Opportunities Fund, Eaton Vance Short Duration Diversified Income Fund
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the Advisers 1940 Act Rules and Regulations, Regulations from acting under this Agreement, the Investment Management Agreement, the Subadvisory Agreement or the Fee Agreements, as contemplated by the Registration Statement, each preliminary prospectus Preliminary Prospectus and the Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Nuveen Energy MLP Total Return Fund), Underwriting Agreement (Nuveen Energy MLP Total Return Fund)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement as contemplated by the Registration Statement, each preliminary prospectus the Statutory Prospectus and the Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Nuveen Intermediate Duration Quality Municipal Term Fund), Underwriting Agreement (Salient Midstream & MLP Fund)
Investment Adviser Status. The Investment Each Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement or the Sub-Advisory Agreement, as applicable, for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Nuveen Municipal High Income Opportunity Fund 2), Equity Distribution Agreement (Nuveen Municipal Value Fund Inc)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Adviser Act, and is not prohibited by the Advisers Act, Adviser Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement for the Trust as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 2 contracts
Samples: Purchase Agreement (Pioneer High Income Trust), Pioneer High Income Trust
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 2 contracts
Samples: Nuveen Municipal High Income Opportunity Fund 2, Nuveen Municipal High Income Opportunity Fund 2
Investment Adviser Status. The Investment Adviser Such Advisor is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement and the Sub-Advisory Agreement as contemplated by the Registration Statement, each preliminary prospectus the Statutory Prospectus and the Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Guggenheim Active Allocation Fund), Underwriting Agreement (BlackRock ESG Capital Allocation Trust)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement or Administration Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 2 contracts
Samples: Purchase Agreement (Calamos Convertible Opportunities & Income Fund), Purchase Agreement (Calamos Convertible Opportunities & Income Fund)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 2 contracts
Samples: SunAmerica Focused Alpha Growth Fund, Inc., SunAmerica Focused Alpha Large-Cap Fund, Inc.
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules and Regulations, from acting under the Investment Management Advisory Agreement for the Company as contemplated by the Registration StatementProspectus. There does not exist any proceeding or, each preliminary prospectus and to the ProspectusAdviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding, which might adversely affect the registration of the Adviser with the Commission.
Appears in 2 contracts
Samples: Dealer Manager Agreement (Prospect Capital Corp), Dealer Manager Agreement (Prospect Capital Corp)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement between the Adviser and the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 2 contracts
Samples: Purchase Agreement (Tortoise Energy Infrastructure Corp), Purchase Agreement (Tortoise Energy Infrastructure Corp)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the Advisers 1940 Act Rules and Regulations, Regulations from acting under the Investment Management Agreement or the Fee Agreements to which it is a party, as contemplated by the Registration Statement, each preliminary prospectus Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Nuveen Multi-Currency Short-Term Government Income Fund)
Investment Adviser Status. The Investment Adviser Each of Advisers is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the respective Investment Management Agreement and Portfolio Management Agreement for the Trust as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Samples: Western Asset Premier Bond Fund
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, the Commission has not issued to the Adviser notice of any hearing or other proceeding to consider suspension or revocation of such registration, and the Adviser is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Samples: Aew Real Estate Income Fund
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Advisory and Management Agreement as contemplated by the Registration Statement, each preliminary prospectus the Statutory Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Ares Multi-Strategy Credit Fund, Inc.)
Investment Adviser Status. The Investment Such Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the Advisers 1940 Act Rules and Regulations, Regulations from acting under the Investment Management Advisory Agreement, the Administration Agreement or the Structuring Fee Agreements as contemplated by the Registration Statement, each preliminary prospectus Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Claymore/Guggenheim Strategic Opportunities Fund)
Investment Adviser Status. The Investment Such Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the Advisers 1940 Act Rules and Regulations, Regulations from acting under the Investment Management Agreement Advisory Agreement, the Administration Agreement, the Sub-Advisory Agreement, the Structuring Fee Agreements or the Additional Compensation Agreements to which it is a party, as contemplated by the Registration Statement, each preliminary prospectus Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Eaton Vance Tax-Managed Global Diversified Equity Income Fund)
Investment Adviser Status. The Investment Such Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement and the Sub-Advisory Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Investment Adviser Status. The Investment Adviser Such Advise is duly registered and in good standing with the Commission as an investment adviser under the Advisers Advisors Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement and the Investment Sub-Advisory Agreement to which it is a party as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Guggenheim Build America Bonds Managed Duration Trust)
Investment Adviser Status. The Investment Such Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the Advisers 1940 Act Rules and Regulations, Regulations from acting under the Investment Management Agreement Advisory Agreement, the Administration Agreement, the Sub-Advisory Agreement, the Structuring Fee Agreement[s] [or the Additional Compensation Agreement] to which it is a party, as contemplated by the Registration Statement, each preliminary prospectus Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Eaton Vance Tax-Managed Diversified Equity Income Fund)
Investment Adviser Status. The Investment Adviser Each of the Advisers is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under under, as applicable, the Investment Management Agreement and the Sub-Advisory Agreement for the Trust as contemplated by the Statutory Prospectus, the Registration Statement, each preliminary prospectus Statement and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (BlackRock Resources & Commodities Strategy Trust)
Investment Adviser Status. The Investment Adviser Advisor is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Tortoise Energy Capital Corp)
Investment Adviser Status. The Investment Adviser Advisor is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement as contemplated by the Registration Statement, each preliminary prospectus the Statutory Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Cohen & Steers Real Estate Opportunities & Income Fund)
Investment Adviser Status. The Investment Such Adviser is duly registered and in ------------------------- good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management each Advisory Agreement to which it is a party, as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Samples: Purchase Agreement (Nuveen Equity Premium & Growth Fund)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement for the Trust as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Investment Adviser Status. The Investment Adviser Such Advisor is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or Regulations, the Advisers 1940 Act Rules and Regulations, from acting under the Investment Management Advisory Agreement, the Structuring Fee Agreements to which it will be a party, the Additional Compensation Agreement to which it will be a party [or the Incentive Fee Agreement to which it will be a party], as contemplated by the Registration Statement, each preliminary prospectus Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (BlackRock International Growth & Income Trust)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement to which it is a party as contemplated by the Registration Statement, each preliminary prospectus the Statutory Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Eaton Vance Floating-Rate Income Plus Fund)
Investment Adviser Status. The Investment Adviser Each of the Advisers is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement or Sub-Advisory Agreement, as the case may be, for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Samples: Evergreen Managed Income Fund
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the Advisers 1940 Act Rules and Regulations, Regulations from acting under the Investment Management Agreement Advisory Agreement, the Accounting Agreement, the Structuring Fee Agreements or the Incentive Fee Agreements as contemplated by the Registration Statement, each preliminary prospectus Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Calamos Dynamic Convertible & Income Fund)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement for the Trust as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Samples: Purchase Agreement (Pioneer Tax Advantaged Balanced Trust)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management each Advisory Agreement to which it is a party, as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Samples: Purchase Agreement (Nuveen Global Government Enhanced Income Fund)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement as contemplated by the Registration Statement, each preliminary prospectus and the ProspectusAgreement.
Appears in 1 contract
Samples: Investment Management Agreement (AllianzGI Artificial Intelligence & Technology Opportunities Fund)
Investment Adviser Status. The Investment Adviser Advisor is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement as contemplated by the Registration Statement, each preliminary prospectus the Statutory Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (BlackRock Capital Allocation Trust)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Adviser Act, and is not prohibited by the Advisers Act, Adviser Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement for the Trust as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Samples: Purchase Agreement (Pioneer Tax Advantaged Balanced Trust)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement as contemplated by the Registration Statement, each preliminary prospectus the Statutory Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Neuberger Berman Next Generation Connectivity Fund Inc.)
Investment Adviser Status. The Investment Adviser Each of Advisers is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment respective Management Agreement and Sub-Advisory Agreement for the Trust as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Samples: Western Asset Premier Bond Fund
Investment Adviser Status. The Investment Such Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement and the Investment Sub-Advisory Agreements to which it is a party for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement for the Trust as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Samples: Purchase Agreement (BlackRock Health Sciences Trust)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the 1940 Act Rules and Regulations or the Advisers Act Rules and Regulations, Regulations from acting under the Investment Management Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Samples: Scudder Commodities Stock Fund, Inc.
Investment Adviser Status. The Investment Such Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement and the Sub-Advisory Agreements to which it is a party as contemplated by the Registration Statement, each preliminary prospectus the Statutory Prospectus and the Prospectus.
Appears in 1 contract
Samples: Transfer Agency Agreement (BlackRock Multi-Sector Opportunities Trust)
Investment Adviser Status. The Investment Such Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement to which it is a party for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Samples: Of Purchase Agreement (Boulder Growth & Income Fund)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Agreement or Administration Agreement for the Trust as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Samples: Purchase Agreement (Calamos Convertible Opportunities & Income Fund)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Investment Advisers Act of 1940, as amended (the "Advisers Act"), and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Investment Adviser Status. The Investment Such Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement and the Investment Sub-Advisory Agreement to which it is a party for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Samples: Purchase Agreement (ING Global Advantage & Premium Opportunity Fund)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Management Advisory Agreement as contemplated by the Registration Statement, each preliminary prospectus the Statutory Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Ivy High Income Opportunities Fund)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the Advisers 1940 Act Rules and Regulations, Regulations from acting under this Agreement, the Investment Management Agreement or the Fee Agreements, as contemplated by the Registration Statement, each preliminary prospectus Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Nuveen Mortgage Opportunity Term Fund)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the Advisers 1940 Act Rules and Regulations, Regulations from acting under this Agreement, the Investment Management Agreement, the Subadvisory Agreement or the Fee Agreements to which it is a party, as contemplated by the Registration Statement, each preliminary prospectus Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Nuveen Mortgage Opportunity Term Fund)
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the Advisers 1940 Act Rules and Regulations, Regulations from acting under this Agreement, the Investment Management Agreement, the Subadvisory Agreement or the Fee Agreements, as contemplated by the Registration Statement, each preliminary prospectus the Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Nuveen Preferred & Income 2022 Term Fund)
Investment Adviser Status. The Investment Such Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the Advisers 1940 Act Rules and Regulations, Regulations from acting under the Investment Management Agreement Advisory Agreements or the Fee Agreements to which it is a party, as contemplated by the Registration Statement, each preliminary prospectus Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Guggenheim Equal Weight Enhanced Equity Income Fund)
Investment Adviser Status. The Investment Adviser Such Advisor is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, the 1940 Act, the Advisers Act Rules and Regulations or the Advisers 1940 Act Rules and Regulations, Regulations from acting under the Investment Management Agreement Advisory Agreement, the Administration Agreement, the Sub-Advisory Agreement, the Structuring Fee Agreements to which it is a party, as contemplated by the Registration Statement, each preliminary prospectus Preliminary Prospectus and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Evergreen Global Dividend Opportunity Fund)
Investment Adviser Status. The Investment Such Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Advisors Act, and is not prohibited by the Advisers Act, Act or the 1940 Act, the Rules and Regulations or the Advisers Act Rules rules and Regulationsregulations under such acts, from acting under the Investment Advisory Agreement and the Investment Management Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 1 contract
Samples: Advent/Claymore Global Convertible Securities & Income Fund
Investment Adviser Status. The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, Act and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules and Regulations, the 1940 Act or the Rules and Regulations from acting under the Investment Management Agreement for the Fund as contemplated by the Registration Statement, each preliminary prospectus and Prospectus. There does not exist any proceeding or any facts or circumstances the Prospectusexistence of which could lead to any proceeding which might adversely affect the registration of the Investment Adviser with the Commission.
Appears in 1 contract
