Common use of Limitation on Transactions by Underwriters Clause in Contracts

Limitation on Transactions by Underwriters. If the Securities are common stock of the Issuer (COMMON STOCK) or securities of the Issuer that may be exchanged for or converted into Common Stock, we agree that we will not, without the advance approval of X.X. Xxxxxxx & Sons, Inc., buy, sell, deal or trade in (a) any Common Stock, (b) any security of the Issuer convertible into Common Stock or (c) any right or option to acquire or sell Common Stock or any security of the Issuer exchangeable for or convertible into Common Stock, for our own account or for the account of a customer, except:

Appears in 4 contracts

Samples: Master Agreement (Neuberger Berman Realty Income Fund Inc), Nuveen Tax-Advantaged Floating Rate Fund, Fiduciary/Claymore MLP Opportunity Fund

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Limitation on Transactions by Underwriters. If the Securities are common stock of the Issuer (COMMON STOCK) or securities of the Issuer that may be exchanged for or converted into Common Stock, we agree that we will not, without the advance approval of X.X. Xxxxxxx A.G. Edwards & Sons, Inc., buyxxx, sellxxxx, deal xxal or trade in (a) any Common Stock, (b) any security of the Issuer convertible into Common Stock or (c) any right or option to acquire or sell Common Stock or any security of the Issuer exchangeable for or convertible into Common Stock, for our own account or for the account of a customer, except:

Appears in 2 contracts

Samples: Master Agreement (Neuberger Berman Real Estate Income Fund Inc), Master Agreement (First Trust Value Line R 100 Fund)

Limitation on Transactions by Underwriters. If the Securities are common stock of the Issuer (COMMON STOCKCommon Stock) or securities of the Issuer that may be exchanged for or converted into Common Stock, we agree that we will not, without the advance approval of X.X. Xxxxxxx & Sons, Inc., buy, sell, deal or trade in (a) any Common Stock, (b) any security of the Issuer convertible into Common Stock or (c) any right or option to acquire or sell Common Stock or any security of the Issuer exchangeable for or convertible into Common Stock, for our own account or for the account of a customer, except:

Appears in 2 contracts

Samples: Nuveen Tax-Advantaged Floating Rate Fund, Nuveen Municipal High Income Opportunity Fund

Limitation on Transactions by Underwriters. If the Securities are common stock of the Issuer (COMMON STOCKCommon Stock) or securities of the Issuer that may be exchanged for or converted into Common Stock, we agree that we will not, without the advance approval of X.X. Xxxxxxx A.G. Edwards & Sons, Inc., buybux, sellxxxx, deal xxxl or trade in (a) any Common Stock, (b) any security of the Issuer convertible into Common Stock or (c) any right or option to acquire or sell Common Stock or any security of the Issuer exchangeable for or convertible into Common Stock, for our own account or for the account of a customer, except:

Appears in 1 contract

Samples: First Trust Value Line R & Ibbotson Equity Allocation Fund

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Limitation on Transactions by Underwriters. If the Securities are common stock of the Issuer (COMMON STOCK) or securities of the Issuer that may be exchanged for or converted into Common Stock, we agree that we will not, without the advance approval of X.X. Xxxxxxx A.G. Edwards & Sons, Inc., buyxxx, sellxxxx, deal xeal or trade in (a) any Common Stock, (b) any security of the Issuer convertible into Common Stock or (c) any right or option to acquire or sell Common Stock or any security of the Issuer exchangeable for or convertible into Common Stock, for our own account or for the account of a customer, except:

Appears in 1 contract

Samples: Master Agreement (Neuberger Berman Real Estate Securities Income Fund Inc)

Limitation on Transactions by Underwriters. If the Securities are common stock of the Issuer (COMMON STOCK) or securities of the Issuer that may be exchanged for or converted into Common Stock, we agree that we will not, without the advance approval of X.X. Xxxxxxx A.G. Edwards & Sons, Inc., buybux, sellxxxx, deal xxxl or trade in (a) any Common Stock, (b) any security of the Issuer convertible into Common Stock or (c) any right or option to acquire or sell Common Stock or any security of the Issuer exchangeable for or convertible into Common Stock, for our own account or for the account of a customer, except:

Appears in 1 contract

Samples: Master Agreement (Energy Income & Growth Fund)

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