NASD Membership. (a) You and we are registered and/or licensed as a broker and/or dealer under the federal and applicable state laws. You and we represent and warrant to each other that you and we are each members of the National Association of Securities Dealers, Inc. (the “NASD”). (b) Each of us agrees to notify the other immediately if we cease to be registered or licensed as a broker or dealer or fail to be a member in good standing of the NASD. (c) You and we agree to abide by the rules and regulations of the NASD, including, without limitation, Rule 2830 of the NASD Conduct Rules.
Appears in 8 contracts
Samples: Dealer Agreement, Selected Dealer Agreement, Selected Dealer Agreement (Western Asset Middle Market Income Fund Inc.)
NASD Membership. (a) You and we are registered and/or licensed as a broker and/or dealer under the federal and applicable state laws. You and we represent and warrant to each other that you and we are each members of the National Association of Securities Dealers, Inc. (the “"NASD”").
(b) Each of us agrees to notify the other immediately if we cease to be registered or licensed as a broker or dealer or fail to be a member in good standing of the NASD.
(c) You and we agree to abide by the rules and regulations of the NASD, including, without limitation, Rule 2830 of the NASD Conduct Rules.
Appears in 2 contracts
Samples: Selected Dealer Agreement (One Group Mutual Funds), Selected Dealer Agreement (One Group Mutual Funds)
NASD Membership. (a) You and we are registered and/or licensed as a broker and/or dealer under the federal Federal and applicable state laws. You and we represent and warrant to each other that you and we are each members of the National Association of Securities Dealers, Inc. (the “"NASD”").
(b) Each of us agrees to notify the other immediately if we cease to be registered or licensed as a broker or dealer or fail to be a member in good standing of the NASD.
(c) You and we agree to abide by the rules and regulations of the NASD, including, without limitation, Rule 2830 of the NASD Conduct RulesRules of the NASD.
Appears in 1 contract
Samples: Selected Dealer Agreement (Stein Roe Investment Trust)
NASD Membership. (a) You and we We are registered and/or licensed as a broker and/or dealer under the federal and applicable state laws. You and we We represent and warrant to each other you that you and we are each members a member of the National Association of Securities Dealers, Inc. (the “"NASD”").
(b) Each of us agrees We agree to notify the other you immediately if we cease to be registered or licensed as a broker or dealer or fail to be a member in good standing of the NASD.
(c) You and we We agree to abide by the rules and regulations of the NASD, including, without limitation, Rule 2830 of the NASD Conduct Rules.
Appears in 1 contract
NASD Membership. (a) You and we are registered and/or licensed as a broker and/or dealer under the federal and applicable state laws. You and we represent and warrant to each other that you and we are each members of the National Association of Securities Dealers, Inc. (the “NASD”).
(b) Each of us agrees to notify the other immediately if we cease to be registered or licensed as a broker or dealer or fail to be a member in good standing of the NASD.
(c) You and we agree to abide by the rules and regulations of the NASD, including, without limitation, Rule 2830 of the NASD Conduct Rules, except as may be permitted by a writing from the NASD addressing the Trust in specific terms.
Appears in 1 contract
