LICENSED REPRESENTATIVES OF THE FUNDS. At the request of the Trust, a Fund, a Fund’s sponsor, adviser or affiliate, NLD may license certain designated employees as a “registered representative” and maintain their licensed status in accordance with FINRA rules and regulations including the following:
Appears in 73 contracts
Samples: Underwriting Agreement (Copeland Trust), Underwriting Agreement (Northern Lights Fund Trust Iii), Underwriting Agreement (Advisorone Funds)
LICENSED REPRESENTATIVES OF THE FUNDS. At the request of the Trust, a Fund, a Fund’s sponsor, adviser or affiliate, NLD may license certain designated employees as a “registered representativerepresentatives” and maintain their licensed status in accordance with FINRA rules and regulations including the following:
Appears in 10 contracts
Samples: Underwriting Agreement (Two Roads Shared Trust), Underwriting Agreement (Miller Investment Trust), Underwriting Agreement (Miller Investment Trust)
LICENSED REPRESENTATIVES OF THE FUNDS. At the request of the Trust, a Fund, a Fund’s sponsor, adviser or affiliate, NLD may license certain designated employees as a “registered representative” and maintain their licensed status in accordance with FINRA rules and regulations including the following:: (a) Filing Form U-4’s and fingerprint submission and processing renewals and terminations
Appears in 4 contracts
Samples: Underwriting Agreement (Equinox Funds Trust), Underwriting Agreement (Morgan Creek Series Trust), Underwriting Agreement (Saratoga Advantage Trust)
LICENSED REPRESENTATIVES OF THE FUNDS. At the request of the Trust, a Fund, a Fund’s sponsor, adviser or affiliate, NLD may license certain designated employees as a “registered representative” and maintain their licensed status in accordance with FINRA rules and regulations including including, without limitation, the following:
Appears in 3 contracts
Samples: Underwriting Agreement (Northern Lights Fund Trust IV), Underwriting Agreement (Centerstone Investors Trust), Underwriting Agreement (Northern Lights Fund Trust IV)
LICENSED REPRESENTATIVES OF THE FUNDS. At the request of the TrustCorporation, a Fund, a Fund’s sponsor, adviser or affiliate, NLD may license certain designated employees as a “registered representative” representative and maintain their licensed status in accordance with FINRA rules and regulations including the following:
Appears in 3 contracts
Samples: Underwriting Agreement (Tributary Funds, Inc.), Underwriting Agreement (Tributary Funds, Inc.), Underwriting Agreement (Tributary Funds, Inc.)
LICENSED REPRESENTATIVES OF THE FUNDS. At the request of the Trust, a Fund, a Fund’s sponsor, adviser or affiliate, NLD may license certain designated employees as a “registered representative” Registered Representative and maintain their licensed status in accordance with FINRA rules and regulations including the following:
Appears in 2 contracts
Samples: Underwriting Agreement (National Retail Fund I), Underwriting Agreement (National Retail Fund III)
LICENSED REPRESENTATIVES OF THE FUNDS. At the request of the TrustCompany, a Fund, a Fund’s sponsor, adviser or affiliate, NLD may license certain designated employees as a “registered representative” Registered Representative and maintain their licensed status in accordance with FINRA rules and regulations including the following:
Appears in 2 contracts
Samples: Underwriting Agreement (Dominion Funds Inc), Underwriting Agreement (Dominion Funds Inc)
LICENSED REPRESENTATIVES OF THE FUNDS. At the request of the Trust, a Fund, a Fund’s sponsor, adviser or affiliate, NLD may license certain designated employees as a “registered representative” and maintain 5 | Page their licensed status in accordance with FINRA rules and regulations including the following:
Appears in 2 contracts
Samples: Underwriting Agreement (Nile Capital Investment Trust), Underwriting Agreement (Nile Capital Investment Trust)
LICENSED REPRESENTATIVES OF THE FUNDS. At the request of the Trust, a Fund, a Fund’s 's sponsor, adviser or affiliate, NLD may NLDmay license certain designated employees as a “registered representativerepresentatives” and maintain their licensed status in accordance with FINRA rules and regulations including the following:
Appears in 1 contract
LICENSED REPRESENTATIVES OF THE FUNDS. At the request of the TrustCorporation, a Fund, a Fund’s 's sponsor, adviser or affiliate, NLD may license certain designated employees as a “registered representative” representative and maintain their licensed status in accordance with FINRA rules and regulations including the following:
Appears in 1 contract
