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
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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 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:
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