REGISTRATION AND COMPLIANCE. (i) SMC represents that as of the date of this Agreement it is registered as a transfer agent with the Securities and Exchange Commission ("SEC") pursuant to Subsection 17A of the Securities and Exchange Act of 1934 and the rules and regulations thereunder, and agrees to maintain said registration and comply with all of the requirements of said Act, rules and regulations so long as this Agreement remains in force.
(ii) The Fund represents that it is a diversified management investment company registered with the SEC in accordance with the 1940 Act and the rules and regulations thereunder, and authorized to sell its shares pursuant to said Act, the 1933 Act and the rules and regulations thereunder.
REGISTRATION AND COMPLIANCE. A. Agent represents that it is registered as a transfer agent with the Securities and Exchange Commission ("SEC") pursuant to Section 17A of the Securities Exchange Act of 1934 (the "Exchange Act") and the rules and regulations promulgated thereunder, and Agent agrees to maintain said registration current and comply with all of the requirements of the Exchange Act, rules and regulations during the term of this Agreement.
B. The Company represents that it is a diversified management investment company registered with the SEC in accordance with the 1940 Act and the rules and regulations promulgated thereunder. The Company is authorized to offer and sell its shares pursuant to the 1940 Act, the Securities Act of 1933, as amended ("1933 Act"), and the rules and regulations promulgated thereunder. The Company will furnish Agent with a list of those jurisdictions in the United States and elsewhere in which it is authorized to offer and sell its shares to the general public and will maintain the currency of such list by amendment. The Company agrees promptly to advise Agent of any change in or limitation upon its authority to carry on business as an investment company pursuant to the 1940 Act, the Exchange Act and the 1933 Act and the statutes, rules and regulations of each and every jurisdiction to which it is subject.
REGISTRATION AND COMPLIANCE. A. BFS represents that it is registered as a transfer agent with the Securities and Exchange Commission ("SEC") pursuant to ss.17A of the Securities Exchange Act of 1934 and the rules and regulations thereunder, and agrees to maintain said registration and comply with all of the requirements of said Act, rules, and regulations so long as this Agreement remains in force.
B. Each Fund represents that it is an open-end management investment company registered with the SEC under the Securities Act of 1933 and the rules and regulations thereunder and the Investment Company Act of 1940 and the rules and regulations thereunder, and that it is authorized to sell its shares pursuant to said Acts, and the rules and regulations thereunder. Each Fund will furnish BFS with a list of those jurisdictions in the United States and elsewhere in which it is authorized to sell its shares to the general public and maintain the currency of said list by amendment. Each Fund agrees to promptly advise BFS of any change in or limitation upon its authority to carry on business as an investment company pursuant to said Acts, and the statutes, rules, and regulations of each and every jurisdiction in which its shares are registered for sale.
REGISTRATION AND COMPLIANCE. Each Employee Plan is duly registered where required by Applicable Law (including registration with relevant Tax authorities where such registration is required to qualify for Tax exemption or other Tax beneficial status), and each Employee Plan intended to qualify under Section 401(a) of the Code is so qualified. Each Employee Plan has been administered in compliance in all material respects with, and is in good standing under, Applicable Law and the terms of the Employee Plan and any associated funding arrangement. All assets held in any funding arrangement associated with an Employee Plan have been held and invested in compliance in all material respects with Applicable Law and the terms of the Employee Plan and the associated funding arrangement.
REGISTRATION AND COMPLIANCE. The Dealer Manager is duly registered as a broker-dealer under the Securities Exchange Act of 1934, is a member in good standing of the National Association of Securities Dealers, Inc., is in compliance with all rules and regulations under the Securities and Exchange Act of 1934 and the NASD Rules of Fair Practice, the violation of which would have a material adverse effect on the Dealer Manager, and is either registered or exempt from registration under any state securities laws applicable to any offer and sale of the Shares.
REGISTRATION AND COMPLIANCE. The Bank will apply for registration of the Plan as a retirement savings plan under the Applicable Laws.
REGISTRATION AND COMPLIANCE. Bank shall register ISO with the Networks, with assistance from and in coordination with ISO, as an “Independent Sales Organization” or other designation necessary for ISO to perform the Services. Maintaining all necessary approvals from the Networks is a condition precedent to the performance by the parties of their respective obligations hereunder. ISO (a) shall pay or promptly reimburse to Bank any fees, assessments, levies or charges imposed by any Network related to ISO or any Third Party Service Provider, (b) shall execute such applications, agreements and other forms as may be required by any Network in order to maintain ISO as an approved or registered Independent Sales Organization or other relevant Network designation, and (c) agrees that it has received, reviewed, understands and shall comply with the Rules. Bank shall use commercially reasonable efforts to keep ISO informed as to the Rules, to the extent the Rules are not publicly available. ISO represents and warrants that all of the information contained in any registration materials for the Networks is correct and accurate, and agrees to inform Bank as soon as practicable of any circumstance of which it becomes aware that causes such information to be inaccurate or incomplete. Bank and ISO shall exercise their respective rights and perform their respective obligations under this Agreement in compliance with: (a) all applicable federal, state, local and administrative laws, rules, regulations, regulatory guidance and interpretations, including, without limitation, consumer protection laws, rules and regulations (“Applicable Law”); (b) the Rules; (c) the National Automated Clearinghouse Association (“NACHA”) operating rules; and (d) the internal security and privacy policies and guidelines of Bank, as required by safe and sound banking practices, as any or all of the foregoing may be amended, revised or replaced from time to time. Set forth on the attached Schedule B is a description of all of the locations from which ISO conducts its business. ISO shall provide prior written notice to Bank in the event it intends to operate its business from any location not listed on Schedule B. ISO will, on a quarterly basis, provide Bank a list of all individuals or entities that represent ISO in Terminal sales activity or solicitation of Merchants (“Sales Agents”). All Sales Agents will enter into a written agreement that requires the Sales Agent to comply with the Rules, Applicable Law, and any policies ...
REGISTRATION AND COMPLIANCE. A. Agent represents that it is registered as a transfer agent with the Securities and Exchange Commission ("SEC") pursuant to Section 17A of the Securities Exchange Act of 1934 (the "Exchange Act") and the rules and regulations promulgated thereunder, and Agent agrees to maintain said registration current and comply with all of the requirements of the Exchange Act, rules and regulations during the term of this Agreement.
B. The Company represents that it is a management investment company registered with the SEC in accordance with the 1940 Act and the rules and regulations promulgated thereunder. The Company is authorized to offer and sell Fund shares pursuant to the 1940 Act, the Securities Act of 1933, as amended ("1933 Act"), and the rules and regulations promulgated thereunder. The Company agrees promptly to advise Agent of any change in or limitation upon its authority to carry on business as an investment company pursuant to the 1940 Act, the Exchange Act and the 1933 Act and the statutes, rules and regulations of each and every jurisdiction to which it is subject.
REGISTRATION AND COMPLIANCE. A. Agent represents that it is registered as a transfer agent with the Securities and Exchange Commission (“SEC”) pursuant to Section 17A of the Securities Exchange Act of 1934 (the “Exchange Act”) and the rules and regulations promulgated thereunder, and Agent agrees to maintain said registration current and comply with all of the requirements of the Exchange Act, rules and regulations during the term of this Agreement.
B. The Trust represents that it is a management investment company registered with the SEC in accordance with the 1940 Act and the rules and regulations promulgated thereunder. The Trust is authorized to offer and sell its beneficial interests (the “Interests”) pursuant to the 1940 Act and the rules and regulations promulgated thereunder. The Trust agrees promptly to advise Agent of any change in or limitation upon its authority to carry on business as an investment company pursuant to the 1940 Act and the statutes, rules and regulations of each and every jurisdiction to which it is subject.
REGISTRATION AND COMPLIANCE. A. TCS represents that it is registered as a transfer agent with the Securities and Exchange Commission ("SEC") pursuant to ss.17A of the Securities Exchange Act of 1934 and the rules and regulations thereunder, and agrees to maintain said registration and comply with all of the requirements of said Act, rules, and regulations so long as this Agreement remains in force.
B. Each Fund represents that it is an open-end management investment company registered with the SEC under the Securities Act of 1933 and the rules and regulations thereunder and the Investment Company Act of 1940 and the rules and regulations thereunder, and that it is authorized to sell its shares pursuant to said Acts, and the rules and regulations thereunder. Each Fund will furnish TCS with a list of those jurisdictions in the United States and elsewhere in which it is authorized to sell its shares to the general public and maintain the currency of said list by amendment. Each Fund agrees to promptly advise TCS of any change in or limitation upon its authority to carry on business as an investment company pursuant to said Acts, and the statutes, rules, and regulations of each and every jurisdiction in which its shares are registered for sale.
