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 (b) On-going compliance up-dates and training (c) Preparation of materials and training for compliance with FINRA continuing education requirements (d) Supervision of registered representatives NLD reserves the right in its sole discretion of refuse to register or maintain the registration for any individual and otherwise impose any requirements, fees or limitations on licensed persons.
Appears in 57 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:
(a) Filing Form U-4’s and fingerprint submission and processing renewals and terminations;
(b) On-going Ongoing compliance up-dates updates and training;
(c) Preparation of materials and training for compliance with FINRA continuing education requirements; and
(d) Supervision of registered representatives representatives. NLD reserves the right in its sole discretion of to refuse to register or maintain the registration for any individual and otherwise impose any requirements, fees or limitations on licensed persons.
Appears in 9 contracts
Samples: Underwriting Agreement (Two Roads Shared Trust), Underwriting Agreement (Miller Investment Trust), Underwriting Agreement (Total Income (Plus) Real Estate Fund)
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
(b) On-going compliance up-dates and training
(c) Preparation of materials and training for compliance with FINRA continuing education requirements
(d) Supervision of registered representatives NLD reserves the right in its sole discretion of to refuse to register or maintain the registration for any individual and otherwise impose any requirements, fees or limitations on licensed persons.
Appears in 4 contracts
Samples: Underwriting Agreement (Saratoga Advantage Trust), Underwriting Agreement (Saratoga Advantage Trust), Underwriting Agreement (Morgan Creek Series 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;
(b) On-going compliance up-dates and training;
(c) Preparation of materials and training for compliance with FINRA continuing education requirements; and
(d) Supervision of registered representatives representatives. NLD reserves the right in its sole discretion of to refuse to register or maintain the registration for any individual and otherwise impose any requirements, fees or limitations on licensed persons.
Appears in 4 contracts
Samples: Underwriting Agreement (Forethought Variable Insurance Trust), Underwriting Agreement (Forethought Variable Insurance Trust), Underwriting Agreement (Forethought Variable Insurance 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 filing Form U-4’s and fingerprint submission and processing renewals and terminations;
(b) Onon-going compliance up-dates and training;
(c) Preparation preparation of materials and training for compliance with FINRA continuing education requirements; and
(d) Supervision supervision of registered representatives representatives. NLD reserves the right in its sole discretion of refuse to register or maintain the registration for any individual and otherwise impose any requirements, fees or limitations on licensed persons.
Appears in 3 contracts
Samples: Underwriting Agreement (Predex), Underwriting Agreement (CLA Strategic Allocation Fund), Distribution Agreement (Princeton Private Equity Fund)
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:
(a) Filing filing Form U-4’s and fingerprint submission and processing renewals and terminations;
(b) Onon-going compliance up-dates and training;
(c) Preparation preparation of materials and training for compliance with FINRA continuing education requirements; and
(d) Supervision supervision of registered representatives representatives. NLD reserves the right in its sole discretion of to refuse to register or maintain the registration for any individual and otherwise impose any requirements, fees or limitations on licensed persons.
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 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:
(a) Filing Form U-4’s and fingerprint submission and processing renewals and terminations
(b) On-going compliance up-dates and training
(c) Preparation of materials and training for compliance with FINRA continuing education requirements
(d) Supervision of registered representatives the Registered Representatives NLD reserves the right in its sole discretion of refuse to register or maintain the registration for any individual and otherwise impose any requirements, fees requirements or limitations on licensed persons.
Appears in 2 contracts
Samples: Underwriting Agreement (National Retail Fund III), Underwriting Agreement (National Retail Fund I)
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:
(a) Filing Form U-4’s and fingerprint submission and processing renewals and terminations
(b) On-going compliance up-dates and training
(c) Preparation of materials and training for compliance with FINRA continuing education requirements
(d) Supervision of registered representatives the Registered Representatives NLD reserves the right in its sole discretion of refuse to register or maintain the registration for any individual and otherwise impose any requirements, fees requirements or limitations on licensed persons.
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 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:
(a) Filing Form U-4’s and fingerprint submission and processing renewals and terminations
(b) On-going compliance up-dates and training
(c) Preparation of materials and training for compliance with FINRA continuing education requirements
(d) Supervision of the registered representatives NLD reserves the right in its sole discretion of refuse to register or maintain the registration for any individual and otherwise impose any requirements, fees requirements or limitations on licensed persons.
Appears in 2 contracts
Samples: 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” 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
(b) On-going compliance up-dates updates and training
(c) Preparation of materials and training for compliance with FINRA continuing education requirements
(d) Supervision of registered representatives NLD reserves the right in its sole discretion of to refuse to register or maintain the registration for any individual and otherwise impose any requirements, fees or limitations on licensed persons.
Appears in 2 contracts
Samples: Underwriting Agreement (Compass EMP Funds Trust), Underwriting Agreement (Compass EMP Funds 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-4U‐4’s and fingerprint submission and processing renewals and terminations
(b) On-going On‐going compliance up-dates up‐dates and training
(c) Preparation of materials and training for compliance with FINRA continuing education requirements
(d) Supervision of registered representatives NLD reserves the right in its sole discretion of refuse to register or maintain the registration for any individual and otherwise impose any requirements, fees or limitations on licensed persons.
Appears in 2 contracts
Samples: Underwriting Agreement (Resource Real Estate Diversified Income Fund), Underwriting Agreement (Multi-Strategy Growth & Income Fund)
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
terminations (b) On-going compliance up-dates and training
(c) Preparation of materials and training for compliance with FINRA continuing education requirements
(d) Supervision of registered representatives NLD reserves the right in its sole discretion of refuse to register or maintain the registration for any individual and otherwise impose any requirements, fees or limitations on licensed persons.
Appears in 1 contract
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 filing Form U-4’s and fingerprint submission and processing renewals and terminations;
(b) Onon-going compliance up-dates and training;
(c) Preparation preparation of materials and training for compliance with FINRA continuing education requirements
; and (d) Supervision supervision of registered representatives representatives. NLD reserves the right in its sole discretion of refuse to register or maintain the registration for any individual and otherwise impose any requirements, fees or limitations on licensed persons.
Appears in 1 contract
Samples: Underwriting Agreement (BlueArc Multi-Strategy Fund)
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:
(a) Filing Form U-4’s U-4s and fingerprint submission and processing renewals and terminations
(b) On-going compliance up-dates and training
(c) Preparation of materials and training for compliance with FINRA continuing education requirements
(d) Supervision of the registered representatives NLD reserves the right in its sole discretion of to refuse to register or maintain the registration for any individual and otherwise impose any requirements, fees or limitations on licensed persons.
Appears in 1 contract
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 filing Form U-4U‐4’s and fingerprint submission and processing renewals and terminations;
(b) On-going on‐going compliance up-dates up‐dates and training;
(c) Preparation preparation of materials and training for compliance with FINRA continuing education requirements; and
(d) Supervision supervision of registered representatives representatives. NLD reserves the right in its sole discretion of refuse to register or maintain the registration for any individual and otherwise impose any requirements, fees or limitations on licensed persons.
Appears in 1 contract
Samples: Underwriting Agreement (Predex)
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:
(a) Filing Form U-4’s 's and fingerprint submission and processing renewals and terminations
(b) On-going compliance up-dates and training
(c) Preparation of materials and training for compliance with FINRA continuing education requirements
(d) Supervision of the registered representatives NLD reserves the right in its sole discretion of to refuse to register or maintain the registration for any individual and otherwise impose any requirements, fees or limitations on licensed persons.
Appears in 1 contract
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:
(a) Filing Form U-4U‐4’s and fingerprint submission and processing renewals and terminations;
(b) On-going Ongoing compliance up-dates updates and training;
(c) Preparation of materials and training for compliance with FINRA continuing education requirements; and
(d) Supervision of registered representatives representatives. NLD reserves the right in its sole discretion of to refuse to register or maintain the registration for any individual and otherwise impose any requirements, fees or limitations on licensed persons.
Appears in 1 contract
