Investment Adviser Status. The Sub-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 Sub-Advisory Agreement as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.
Appears in 6 contracts
Samples: Underwriting Agreement (Nuveen California Dividend Advantage Municipal Fund 3), Underwriting Agreement (Nuveen California Dividend Advantage Municipal Fund 3), Underwriting Agreement (Nuveen Ohio Dividend Advantage Municipal Fund 3)
Investment Adviser Status. The Sub-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 Sub-Advisory Agreement as contemplated by the Registration Statement, each preliminary prospectus the Time of Sale Prospectus and the Prospectus.
Appears in 5 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 Sub-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 Sub-Advisory 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 Sub-Adviser Subadviser 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 or the Sub-Advisory Agreement Subadvisory Agreement, as contemplated by the Registration Statement, each preliminary prospectus Preliminary Prospectus and the Prospectus.
Appears in 3 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)
Investment Adviser Status. The Sub-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 Sub-Advisory Agreement as contemplated by the Registration Statement, each preliminary prospectus the Time of Sale of Prospectus and the Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Nuveen AMT-Free Quality Municipal Income Fund), Underwriting Agreement (Nuveen AMT-Free Municipal Credit Income Fund)
Investment Adviser Status. The Sub-Adviser Manager and each of the Subadvisers 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 Sub-Advisory Agreement Agreements 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: Initial Offering Period Agreement (Western Asset Middle Market Income Fund Inc.), Western Asset (Western Asset Middle Market Debt Fund Inc.)
Investment Adviser Status. The Sub-Adviser Subadviser 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 Sub-Advisory 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 (Nuveen Intermediate Duration Quality Municipal Term Fund)
Investment Adviser Status. The SubEach of the Subadviser, the Non-Adviser U.S. Subadviser and the Allocation Subadviser 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 SubSubadvisory Agreement, the Non-Advisory U.S. Subadvisory Agreement and the Allocation Subadvisory 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: Underwriting Agreement (Western Asset Mortgage Defined Opportunity Fund Inc.)
Investment Adviser Status. The Sub-Adviser Subadviser 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 or the Sub-Advisory Agreement Subadvisory Agreement, 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)
