NASD Regulation. Each party to this Agreement represents that it is a member of the National Association of Securities Dealers, Inc. ("NASD") and each party agrees to notify the other should it cease to be such a member. With respect to the sale of Shares hereunder, you and Xxxxx Xxxxxx agree to abide by the Conduct Rules of the NASD, including but not limited to the following:
Appears in 3 contracts
Samples: Fpa Paramount Fund Inc, Fpa New Income Inc, Fpa Capital Fund Inc
NASD Regulation. Each party to this Agreement represents that it is a member of the National Association of Securities Dealers, Inc. ("βNASD"β) and each party agrees to notify the other should it cease to be such a member. With respect to the sale of Shares hereunder, you and Xxxxx Xxxxxx agree to abide by the Conduct Rules of the Fair Practice of the NASD, including but not limited to the following:
Appears in 2 contracts
Samples: Dealer Agreement (BlackRock Fixed Income Value Opportunities), Dealer Agreement (BlackRock Fixed Income Value Opportunities)
NASD Regulation. Each party to this Agreement represents that it is a member of the National Association of Securities Dealers, Inc. ("NASD") and each party agrees to notify the other should it cease to be such a member. Termination of such membership shall terminate this Agreement and shall relieve you of your payment obligations under Paragraph 6 hereof. With respect to the sale of Shares hereunder, you and Xxxxx Xxxxxx agree to abide by the Conduct Rules of the NASD, including but not limited to the following:
Appears in 2 contracts
Samples: Dealer Agreement (Seligman Capital Fund Inc), Seligman Lasalle Real Estate Fund Series Inc
NASD Regulation. Each party to this Agreement represents that it is a member of the National Association of Securities Dealers, Inc. ("NASD") and each party agrees to notify the other should it cease to be such a member. With respect to the sale of Shares hereunder, you and Xxxxx Smitx Xxxxxx agree xxxee to abide by the Conduct Rules of the NASD, including but not limited to the following:
Appears in 1 contract
Samples: Fpa Perennial Fund Inc
NASD Regulation. Each party to this Agreement represents that it is a member of the National Association of Securities Dealers, Inc. ("NASD") and each party agrees to notify the other should it cease to be such a member. With respect to the sale of Shares hereunder, you and Xxxxxxx Xxxxx Xxxxxx agree to abide by the Conduct Rules of the NASD, including but not limited to the following:
Appears in 1 contract
Samples: Mutual Fund Dealer Agreement (One Group Mutual Funds)
NASD Regulation. Each party .party to this Agreement represents that it is a --------------- member of the National Association of Securities Dealers, Inc. ("NASD") and each party agrees to notify the other should it cease to be such a member. With respect to the sale of Shares hereunder, you and Xxxxxxx Xxxxx Xxxxxx Barney agree to abide by the Conduct Rules of the NASD, including but not limited to the following:
Appears in 1 contract
Samples: Agreement (One Group Mutual Funds)
NASD Regulation. Each party to this Agreement represents that it is a member of the National Association of Securities Dealers, Inc. ("NASD") and each party agrees to notify the other should it cease to be such a member. With respect to the sale of Shares hereunder, you and Xxxxx Xxxxxx Smith Barney agree to abide by the Conduct Rules of the NASDFair Practicx xx xxx XXXX, including but not limited to the following:
Appears in 1 contract
Samples: Olstein Funds
