Common use of Rules of NASD, etc Clause in Contracts

Rules of NASD, etc. (a) In providing services hereunder, Distributor will comply with the Rules of the NASD, the federal securities laws and the rules thereunder and the securities laws and regulations of each state and other jurisdiction in which it sells, directly or indirectly, any Shares. (b) Distributor will require each dealer with whom Distributor has a dealer agreement to conform to the applicable provisions hereof and the Registration Statement with respect to the public offering price of the Shares, and neither Distributor nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby. (c) Distributor agrees to furnish to the Trust sufficient copies of any agreements, plans or other materials it intends to use in connection with any sales of Shares in reasonably adequate time for the Trust to file and clear them with the proper authorities before they are put in use, and not to use them until so filed and cleared. At the request of the Trust, Distributor will assume responsibility for the review and clearance of all advertisements and sales literature. (d) Distributor, at its own expense, will qualify as dealer or broker, or otherwise, under all applicable state or federal laws required in order that Shares may be sold in such States as may be mutually agreed upon by the parties. (e) Distributor shall not make, or permit any representative, broker or dealer to make, in connection with any sale or solicitation of a sale of the Shares, any representations concerning the Shares except those contained in the then current prospectus and statement of additional information covering the Shares and in printed information approved by the Trust as information supplemental to such prospectus and statement of additional information. Copies of the then effective prospectus and statement of additional information and any such printed supplemental information will be supplied by the Trust to Distributor in reasonable quantities upon request.

Appears in 25 contracts

Samples: Distribution Agreement (Hussman Investment Trust), Distribution Agreement (Monteagle Funds), Distribution Agreement (Veracity Funds)

AutoNDA by SimpleDocs

Rules of NASD, etc. (a) In providing services hereunder, Distributor FDDI will comply with the conform tot he Conduct Rules of the NASD, the federal securities laws and the rules thereunder NASD and the securities laws and regulations of each state and other any jurisdiction in which it sells, directly or indirectly, indirectly sells any Shares. (b) Distributor FDDI will require each dealer with whom Distributor FDDI has a dealer selling agreement to conform to the applicable provisions hereof and of the Registration Statement Prospectus, with respect to the public offering price of the Shares, and neither Distributor nor any such dealers FDDI shall not cause the Fund to withhold the placing of purchase orders so as to make a profit thereby. (c) Distributor agrees The Fund and the Company agree to furnish to the Trust FDDI sufficient copies of any and all: agreements, plans plans, communications with the public or other materials it intends which the Fund or the Company intend to use in connection with any sales of Shares Shares, in reasonably adequate time for the Trust FDDI to file and clear them such materials with the proper authorities before they are put in use. FDDI and the Fund or the Company may agree that any such material does not need to be filed subsequent to distribution. In addition, the Fund and the Company agree not to use them any such materials until so filed and cleared. At the request of the Trustcleared for use, Distributor will assume responsibility for the review and clearance of all advertisements and sales literatureif required, by appropriate authorities as well as by FDDI. (d) DistributorFDDI, at its own expense, will qualify as a dealer or broker, or otherwise, under all applicable state or federal laws required in order that the Shares may be sold in such States states as may be mutually agreed upon by the partiesParties. (e) Distributor FDDI shall not make, or permit any representative, broker or dealer to makeremain registered with the SEC and a member of the NASD for the term of this Agreement. (f) FDDI shall not, in connection with any sale or solicitation of a sale of the Shares, make or authorize any representative, service organization, broker or dealer to make any representations concerning the Shares Shares, except those contained in the then current prospectus and statement of additional information covering Prospectus offering the Shares and in printed information communications with the public or sales materials approved by the Trust FDDI as information supplemental to such prospectus and statement of additional informationProspectus. Copies of the then effective prospectus and statement of additional information and any such printed supplemental information Prospectus will be supplied by the Trust Fund or the Company to Distributor FDDI in reasonable quantities upon request. (g) FDDI shall only be authorized to make representations in respect of the Fund consistent with the then current Prospectus, Statement of Additional Information, and other written information provided by the Fund or its agents to be used explicitly with respect to the sale of Shares.

Appears in 9 contracts

Samples: Underwriting Agreement (Iaa Trust Growth Fund Inc), Underwriting Agreement (Iaa Trust Asset Allocation Fund Inc), Underwriting Agreement (Iaa Trust Tax Exempt Bond Fund Inc)

Rules of NASD, etc. (a) In providing services hereunder, Distributor will comply with conform to the Rules of the NASD, the federal securities laws and the rules thereunder NASD and the securities laws and regulations of each state and other any jurisdiction in which it sells, directly or indirectly, any Shares. (b) Distributor will require each dealer with whom Distributor has a dealer agreement to conform to the applicable provisions hereof and the Registration Statement with respect to the public offering price of the Shares, and neither Distributor nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby. (c) Distributor agrees to furnish to the Trust sufficient copies of any agreements, plans or other materials it intends to use in connection with any sales of Shares in reasonably adequate time for the Trust to file and clear them with the proper authorities before they are put in use, and not to use them until so filed and cleared. At the request of the Trust, Distributor will assume responsibility for the review and clearance of all advertisements and sales literature. (d) Distributor, at its own expense, will qualify as dealer or broker, or otherwise, under all applicable state or federal laws required in order that Shares may be sold in such States as may be mutually agreed upon by the parties. (e) Distributor shall not make, or permit any representative, broker or dealer to make, in connection with any sale or solicitation of a sale of the Shares, any representations concerning the Shares except those contained in the then current prospectus and statement of additional information covering the Shares and in printed information approved by the Trust as information supplemental to such prospectus and statement of additional information. Copies of the then effective prospectus and statement of additional information and any such printed supplemental information will be supplied by the Trust to Distributor in reasonable quantities upon request.

Appears in 8 contracts

Samples: Distribution Agreement (Industry Leaders Fund), Distribution Agreement (Williamsburg Investment Trust), Distribution Agreement (Watchdog Fund Trust)

Rules of NASD, etc. (a) In providing services hereunder, Distributor Underwriter will comply with conform to the Rules of Fair Practice of the NASD, the federal securities laws and the rules thereunder NASD and the securities laws and regulations of each state and other any jurisdiction in which it sells, directly or indirectly, any Shares. (b) Distributor Underwriter will require each dealer with whom Distributor Underwriter has a dealer agreement to conform to the applicable provisions hereof and the Registration Statement with respect to the public offering price of the Shares, and neither Distributor Underwriter nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby. (c) Distributor Underwriter agrees to furnish to the Trust sufficient copies of any agreements, plans or other materials it intends to use in connection with any sales of Shares in reasonably adequate time for the Trust to file and clear them with the proper authorities before they are put in use, and not to use them until so filed and cleared. At the request of the Trust, Distributor will assume responsibility for the review and clearance of all advertisements and sales literature. (d) DistributorUnderwriter, at its own expense, will qualify as dealer or broker, or otherwise, under all applicable state State or federal laws required in order that Shares may be sold in such States as may be mutually agreed upon by the parties. (e) Distributor Underwriter shall not make, or permit any representative, broker or dealer to make, in connection with any sale or solicitation of a sale of the Shares, any representations concerning the Shares except those contained in the then current prospectus and statement of additional information covering the Shares and in printed information approved by the Trust as information supplemental to such prospectus and statement of additional information. Copies of the then effective prospectus and statement of additional information and any such printed supplemental information will be supplied by the Trust to Distributor Underwriter in reasonable quantities upon request.

Appears in 7 contracts

Samples: Underwriting Agreement (Midwest Income Trust), Underwriting Agreement (Countrywide Investment Trust), Underwriting Agreement (Countrywide Investment Trust)

Rules of NASD, etc. (a) In providing services hereunder, Distributor Underwriter will comply with conform to the Rules of the NASD, the federal securities laws and the rules thereunder NASD and the securities laws and regulations of each state and other any jurisdiction in which it sells, directly or indirectly, any Shares. (b) Distributor Underwriter will require each dealer with whom Distributor Underwriter has a dealer agreement to conform to the applicable provisions hereof and the Registration Statement with respect to the public offering price of the Shares, and neither Distributor Underwriter nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby. (c) Distributor Underwriter agrees to furnish to the Trust sufficient copies of any agreements, plans or other materials it intends to use in connection with any sales of Shares in reasonably adequate time for the Trust to file and clear them with the proper authorities before they are put in use, and not to use them until so filed and cleared. At the request of the Trust, Distributor will assume responsibility for the review and clearance of all advertisements and sales literature. (d) DistributorUnderwriter, at its own expense, will qualify as dealer or broker, or otherwise, under all applicable state State or federal laws required in order that Shares may be sold in such States as may be mutually agreed upon by the parties. (e) Distributor Underwriter shall not make, or permit any representative, broker or dealer to make, in connection with any sale or solicitation of a sale of the Shares, any representations concerning the Shares except those contained in the then current prospectus and statement of additional information covering the Shares and in printed information approved by the Trust as information supplemental to such prospectus and statement of additional information. Copies of the then effective prospectus and statement of additional information and any such printed supplemental information will be supplied by the Trust to Distributor Underwriter in reasonable quantities upon request.

Appears in 5 contracts

Samples: Underwriting Agreement (Atalanta Sosnoff Investment Trust), Underwriting Agreement (Winter Harbor Fund), Underwriting Agreement (Profit Funds Investment Trust)

Rules of NASD, etc. (a) In providing services hereunder, Distributor Underwriter will comply with conform to the Rules of Fair Practice of the NASD, the federal securities laws and the rules thereunder NASD and the securities laws and regulations of each state and other any jurisdiction in which it sells, directly or indirectly, any Shares. (b) Distributor Underwriter will require each dealer with whom Distributor Underwriter has a dealer agreement to conform to the applicable provisions hereof and the Registration Statement with respect to the public offering price of the Shares, and neither Distributor Underwriter nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby. (c) Distributor Underwriter agrees to furnish to the Trust sufficient copies of any agreements, plans or other materials it intends to use in connection with any sales of Shares in reasonably adequate time for the Trust to file and clear them with the proper authorities before they are put in use, and not to use them until so filed and cleared. At the request of the Trust, Distributor will assume responsibility for the review and clearance of all advertisements and sales literature. (d) DistributorUnderwriter, at its own expense, will qualify as dealer or broker, or otherwise, under all applicable state or federal laws required in order that Shares may be sold in such States states as may be mutually agreed upon by the parties. (e) Distributor Underwriter shall not make, or permit any representative, broker or dealer to make, in connection with any sale or solicitation of a sale of the Shares, any representations concerning the Shares except those contained in the then current prospectus and statement of additional information covering the Shares and in printed information approved by the Trust as information supplemental to such prospectus and statement of additional information. Copies of the then effective prospectus and statement of additional information and any such printed supplemental information will be supplied by the Trust to Distributor Underwriter in reasonable quantities upon request.

Appears in 5 contracts

Samples: Underwriting Agreement (Lake Shore Family of Funds), Underwriting Agreement (Lake Shore Family of Funds), Underwriting Agreement (Dean Family of Funds)

Rules of NASD, etc. (a) In providing services hereunder, Distributor Underwriter will comply with conform to the Rules of the NASD, the federal securities laws and the rules thereunder NASD and the securities laws and regulations of each state and other any jurisdiction in which it sells, directly or indirectly, any Shares. (b) Distributor Underwriter will require each dealer with whom Distributor Underwriter has a dealer agreement to conform to the applicable provisions hereof and the Registration Statement with respect to the public offering price of the Shares, and neither Distributor Underwriter nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby. (c) Distributor Underwriter agrees to furnish to the Trust sufficient copies of any agreements, plans or other materials it intends to use in connection with any sales of Shares in reasonably adequate time for the Trust to file and clear them with the proper authorities before they are put in use, and not to use them until so filed and cleared. At the request of the Trust, Distributor will assume responsibility for the review and clearance of all advertisements and sales literature. (d) DistributorUnderwriter, at its own expense, will qualify as dealer or broker, or otherwise, under all applicable state or federal laws required in order that Shares may be sold in such States as may be mutually agreed upon by the parties. (e) Distributor Underwriter shall not make, or permit any representative, broker or dealer to make, in connection with any sale or solicitation of a sale of the Shares, any representations concerning the Shares except those contained in the then then-current prospectus and statement of additional information covering the Shares and in printed information approved by the Trust as information supplemental to such prospectus and statement of additional information. Copies of the then then-effective prospectus and statement of additional information and any such printed supplemental information will be supplied by the Trust to Distributor Underwriter in reasonable quantities upon request.

Appears in 5 contracts

Samples: Underwriting Agreement (Navellier Performance Funds), Underwriting Agreement (Navellier Millennium Funds), Underwriting Agreement (Diamond Hill Funds)

Rules of NASD, etc. (a) In providing services hereunder, Distributor Underwriter will comply with conform to the Rules of Fair Practice of the NASD, the federal securities laws and the rules thereunder NASD and the securities laws and regulations of each state and other any jurisdiction in which it sells, directly or indirectly, any Shares. (b) Distributor Underwriter will require each dealer with to whom Distributor has a dealer agreement Underwriter sells Shares to conform to the applicable provisions hereof and the Registration Statement with respect to the public offering price of the Shares, and neither Distributor Underwriter nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby. (c) Distributor Underwriter agrees to furnish to the Trust sufficient copies of any agreements, plans or other materials it intends to use in connection with any sales of Shares in reasonably adequate time for the Trust to file and clear them with the proper authorities before they are put in use, and not to use them until so filed and cleared. At the request of the Trust, Distributor will assume responsibility for the review and clearance of all advertisements and sales literature. (d) DistributorUnderwriter, at its own expense, will qualify as dealer or broker, or otherwise, under all applicable state State or federal laws required in order that Shares may be sold in such States as may be mutually agreed upon by the parties. (e) Distributor Underwriter shall not make, or permit any representative, broker or dealer to make, in connection with any sale or solicitation of a sale of the Shares, any representations concerning the Shares except those contained in the then current prospectus and statement of additional information covering the Shares and in printed information approved by the Trust as information supplemental to such prospectus and statement of additional information. Copies of the then effective prospectus and statement of additional information and any such printed supplemental information will be supplied by the Trust to Distributor Underwriter in reasonable quantities upon request.

Appears in 4 contracts

Samples: Distribution Agreement (Delta Funds Inc), Underwriting Agreement (Schwartz Investment Trust), Underwriting Agreement (Schwartz Investment Trust)

Rules of NASD, etc. (a) In providing services hereunder, Distributor Underwriter will comply with conform to the Rules of Fair Practice of the NASD, the federal securities laws and the rules thereunder NASD and the securities laws and regulations of each state and other any jurisdiction in which it sells, directly or indirectly, any Shares. (b) Distributor Underwriter will require each dealer with whom Distributor Underwriter has a dealer agreement to conform to the applicable provisions hereof and the Registration Statement with respect to the public offering price of the Shares, and neither Distributor Underwriter nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby. (c) Distributor Underwriter agrees to furnish to the Trust sufficient copies of any agreements, plans or other materials it intends to use in connection with any sales of Shares in reasonably adequate time for the Trust to file and clear them with the proper authorities before they are put in use, and not to use them until so filed and cleared. At the request of the Trust, Distributor will assume responsibility for the review and clearance of all advertisements and sales literature. (d) DistributorUnderwriter, at its own expense, will qualify as dealer or broker, or otherwise, under all applicable state or federal laws required in order that Shares may be sold in such States states as may be mutually agreed upon by the parties. (e) Distributor Underwriter shall not make, or permit any representative, broker or dealer to make, in connection with any sale or solicitation of a sale of the Shares, any representations concerning the Shares except those contained in the then current prospectus and statement of additional information covering the Shares and in printed information approved by the Trust as information supplemental to such prospectus and statement of additional information. Copies of the then effective prospectus and statement of additional information and any such printed supplemental information will be supplied by the Trust to Distributor Underwriter in reasonable quantities upon request.

Appears in 3 contracts

Samples: Underwriting Agreement (New York State Opportunity Funds), Underwriting Agreement (Wells Family of Real Estate Funds), Underwriting Agreement (New York State Opportunity Funds)

Rules of NASD, etc. (a) In providing services hereunder, Distributor PDI will comply with conform to the Conduct Rules of the NASD, the federal securities laws and the rules thereunder NASD and the securities laws and regulations of each state and other any jurisdiction in which it sells, directly or indirectly, indirectly sells any Shares. (b) Distributor PDI will require each dealer with whom Distributor PDI has a dealer selling agreement to conform to the applicable provisions hereof and of the Registration Statement Prospectus, with respect to the public offering price of the Shares, and neither Distributor nor any such dealers PDI shall not withhold the placing of purchase orders so as to make a profit thereby. (c) Distributor The Fund agrees to furnish to the Trust PDI sufficient copies of any and all: agreements, plans plans, communications with the public or other materials it which the Fund intends to use in connection with any sales of Shares Shares, in reasonably adequate time for the Trust PDI to file and clear them such materials with the proper authorities before they are put in use. PDI and the Fund may agree that any such material does not need to be filed subsequent to distribution. In addition, and the Fund agrees not to use them any such materials until so filed and cleared. At the request of the Trustcleared for use, Distributor will assume responsibility for the review and clearance of all advertisements and sales literatureif required, by appropriate authorities as well as by PDI. (d) DistributorPDI, at its own expense, will qualify as a dealer or broker, or otherwise, under all applicable state or federal laws required in order that the Shares may be sold in such States states as may be mutually agreed upon by the partiesParties. (e) Distributor PDI shall not make, or permit any representative, broker or dealer to makeremain registered with the SEC and a member of the NASD for the term of this Agreement. (f) PDI shall not, in connection with any sale or solicitation of a sale of the Shares, make or authorize any representative, service organization, broker or dealer to make any representations concerning the Shares Shares, except those contained in the then current prospectus and statement of additional information covering Prospectus offering the Shares and in printed information communications with the public or sales materials approved by the Trust PDI as information supplemental to such prospectus and statement of additional informationProspectus. Copies of the then effective prospectus and statement of additional information and any such printed supplemental information Prospectus will be supplied by the Trust Fund to Distributor PDI in reasonable quantities upon request. (g) PDI shall only be authorized to make representations in respect of the Fund consistent with the then current Prospectus, Statement of Additional Information, and other written information provided by the Fund or its agents to be used explicitly with respect to the sale of Shares.

Appears in 2 contracts

Samples: Underwriting Agreement (Stratton Funds Inc), Underwriting Agreement (Stratton Growth Fund Inc)

AutoNDA by SimpleDocs

Rules of NASD, etc. (a) In providing services hereunder, Distributor and its agents and employees will comply with conform to the Rules of the NASD, the federal securities laws and the rules thereunder NASD and the securities laws and regulations of each state and other any jurisdiction in which it sells, directly or indirectly, any Shares. (b) Distributor will require each dealer with whom Distributor has a dealer agreement to conform to the applicable provisions hereof and the Registration Statement with respect to the public offering price of the Shares, and neither Distributor nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby. (c) Distributor agrees and the Trust each agree to furnish to the Trust other party sufficient copies of any agreements, plans or other materials it either intends to use in connection with any sales of Shares in reasonably adequate time for the Distributor to review the materials as required under Section 3 above and to cause the Trust to file and clear them with the proper authorities before they are put in use, and the Distributor and Trust both agree not to use them until so filed and cleared. At the request of the Trust, Distributor will assume responsibility for the review and clearance of all advertisements and sales literature. (d) Distributor, at its own expense, will qualify as dealer or broker, or otherwise, under all applicable state or federal laws required in order that Shares may be sold in such States as may be mutually agreed upon by the parties. (e) Distributor shall not make, or permit any representative, broker or dealer to make, in connection with any sale or solicitation of a sale of the Shares, any representations concerning the Shares except those contained in the then current prospectus and statement of additional information covering the Shares and in printed information approved by the Trust as information supplemental to such prospectus and statement of additional information. Copies of the then effective prospectus and statement of additional information and any such printed supplemental information will be supplied by the Trust to Distributor in reasonable quantities upon request.

Appears in 2 contracts

Samples: Distribution Agreement (Surgeons Diversified Investment Fund), Distribution Agreement (Surgeons Diversified Investment Fund)

Rules of NASD, etc. (a) In providing services hereunder, Distributor Underwriter will comply with conform to the Rules of the NASD, the federal securities laws and the rules thereunder NASD and the securities laws and regulations of each state and other any jurisdiction in which it sells, directly or indirectly, any Shares. (b) Distributor Underwriter will require each dealer with whom Distributor Underwriter has a dealer agreement to conform to the applicable provisions hereof and the Registration Statement with respect to the public offering price of the Shares, and neither Distributor Underwriter nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby. (c) Distributor Underwriter agrees to furnish to the Trust sufficient copies of any agreements, plans or other materials it intends to use in connection with any sales of Shares in reasonably adequate time for the Trust to file and clear them with the proper authorities before they are put in use, and not to use them until so filed and cleared. At the request of the Trust, Distributor will assume responsibility for the review and clearance of all advertisements and sales literature. (d) DistributorUnderwriter, at its own expense, will qualify as dealer or broker, or otherwise, under all applicable state State or federal laws required in order that Shares may be sold in such States as may be mutually agreed upon by the parties. (e) Distributor Underwriter shall not make, or permit any representative, broker or dealer to make, in connection with any sale or solicitation of a sale of the Shares, any representations concerning the Shares except those contained in the then then-current prospectus and statement of additional information covering the Shares and in printed information approved by the Trust as information supplemental to such prospectus and statement of additional information. Copies of the then then-effective prospectus and statement of additional information and any such printed supplemental information will be supplied by the Trust to Distributor Underwriter in reasonable quantities upon request.

Appears in 1 contract

Samples: Underwriting Agreement (Brundage Story & Rose Investment Trust)

Rules of NASD, etc. (a) In providing services hereunder, Distributor A. Underwriter will comply with conform to the Rules of the NASD, the federal securities laws and the rules thereunder NASD and the securities laws and regulations of each state and other any jurisdiction in which it sells, directly or indirectly, any Shares. (b) Distributor B. Underwriter will require each dealer with whom Distributor Underwriter has a dealer agreement to conform to the applicable provisions hereof and the then-current Registration Statement with respect to the public offering price of the Shares, and neither Distributor Underwriter nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby. (c) Distributor C. Underwriter agrees to furnish to the Trust sufficient copies of any agreements, plans or other materials it intends to use in connection with any sales of Shares in reasonably adequate time for the Trust to file and clear them with the proper authorities before they are put in use, and not to use them until so filed and cleared. At the request of the Trust, Distributor will assume responsibility for the review and clearance of all advertisements and sales literature. (d) DistributorD. Underwriter, at its own expense, will qualify as dealer or broker, or otherwise, under all applicable state or federal laws required in order that Shares may be sold in such States as may be mutually agreed upon by the parties. (e) Distributor E. Underwriter shall not make, or permit any representative, broker or dealer to make, in connection with any sale or solicitation of a sale of the Shares, any representations concerning the Shares except those contained in the then then-current prospectus and statement of additional information Registration Statement covering the Shares and in printed information approved by the Trust as information supplemental to such prospectus and statement of additional informationRegistration Statement. Copies of the then then-effective prospectus and statement of additional information Registration Statement and any such printed supplemental information will be supplied by the Trust to Distributor Underwriter in reasonable quantities upon request.

Appears in 1 contract

Samples: Underwriting Agreement (Mma Praxis Mutual Funds)

Rules of NASD, etc. (a) In providing services hereunder, Distributor Underwriter will comply with conform to the Rules of the NASD, the federal securities laws and the rules thereunder NASD and the securities laws and regulations of each state and other any jurisdiction in which it sells, directly or indirectly, any Shares. (b) Distributor Underwriter will require each dealer with whom Distributor Underwriter has a dealer agreement to conform to the applicable provisions hereof and the Registration Statement with respect to the public offering price of the Shares, and neither Distributor nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby.Underwriter (c) Distributor Underwriter agrees to furnish to the Trust sufficient copies of any agreements, plans or other materials it intends to use in connection with any sales of Shares in reasonably adequate time for the Trust to file and clear them with the proper authorities before they are put in use, and not to use them until so filed and cleared. At the request of the Trust, Distributor will assume responsibility for the review and clearance of all advertisements and sales literature. (d) DistributorUnderwriter, at its own expense, will qualify as dealer or broker, or otherwise, under all applicable state State or federal laws required in order that Shares may be sold in such States as may be mutually agreed upon by the parties. (e) Distributor Underwriter shall not make, or permit any representative, broker or dealer to make, in connection with any sale or solicitation of a sale of the Shares, any representations concerning the Shares except those contained in the then current prospectus and statement of additional information covering the Shares and in printed information approved by the Trust as information supplemental to such prospectus and statement of additional information. Copies of the then effective prospectus and statement of additional information and any such printed supplemental information will be supplied by the Trust to Distributor Underwriter in reasonable quantities upon request.

Appears in 1 contract

Samples: Underwriting Agreement (Winter Harbor Fund)

Rules of NASD, etc. (a) In providing services hereunder, Distributor PDI will comply with conform to the Conduct Rules of the NASD, the federal securities laws and the rules thereunder NASD and the securities laws and regulations of each state and other any jurisdiction in which it sells, directly or indirectly, indirectly sells any Shares. (b) Distributor PDI will require each dealer with whom Distributor PDI has a dealer selling agreement to conform to the applicable provisions hereof and of the Registration Statement Prospectus, with respect to the public offering price of the Shares, and neither Distributor nor any such dealers PDI shall not withhold the placing of purchase orders so as to make a profit thereby. (c) Distributor The Fund agrees to furnish to the Trust PDI sufficient copies of any and all: agreements, plans plans, communications with the public or other materials it which the Fund intends to use in connection with any sales of Shares Shares, in reasonably adequate time for the Trust PDI to file and clear them such materials with the proper authorities before they are put in use. PDI and the Fund may agree that any such material does not need to be filed subsequent to distribution. In addition, and the Fund agrees not to use them any such materials until so filed and cleared. At the request of the Trustcleared for use, Distributor will assume responsibility for the review and clearance of all advertisements and sales literatureif required, by appropriate authorities as well as by PDI. (d) DistributorPDI, at its own expense, will qualify as a dealer or broker, or otherwise, under Qunder all applicable state or federal laws required in order that the Shares may be sold in such States states as may be mutually agreed upon by the partiesParties. (e) Distributor PDI shall not make, or permit any representative, broker or dealer to makeremain registered with the SEC and a member of the NASD for the term of this Agreement. (f) PDI shall not, in connection with any sale or solicitation of a sale of the Shares, make or authorize any representative, service organization, broker or dealer to make any representations concerning the Shares Shares, except those contained in the then current prospectus and statement of additional information covering Prospectus offering the Shares and in printed information communications with the public or sales materials approved by the Trust PDI as information supplemental to such prospectus and statement of additional informationProspectus. Copies of the then effective prospectus and statement of additional information and any such printed supplemental information Prospectus will be supplied by the Trust Fund to Distributor PDI in reasonable quantities upon request. (g) PDI shall only be authorized to make representations in respect of the Fund consistent with the then current Prospectus, Statement of Additional Information, and other written information provided by the Fund or its agents to be used explicitly with respect to the sale of Shares.

Appears in 1 contract

Samples: Underwriting Agreement (Stratton Monthly Dividend Reit Shares Inc)

Rules of NASD, etc. (a) In providing services hereunder, Distributor The UnderwriterDistributor will comply with conform its activities to the Rules of the NASD, the federal securities laws and the rules thereunder NASD and the securities laws of the Commission and regulations of each state and other any jurisdiction in which it sells, directly or indirectly, any Shares. (b) Distributor The UnderwriterDistributor will require each dealer with whom Distributor the UnderwriterDistributor has a dealer agreement to conform to the applicable provisions hereof and the Registration Statement with respect to the public offering price of the Shares, and neither Distributor the UnderwriterDistributor nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby. (c) Distributor The UnderwriterDistributor agrees to furnish to TrendStar and the Trust Fund sufficient copies of any agreements, plans or other materials it intends to use in connection with any sales of Shares in reasonably adequate time for the Trust Distributor, on behalf of the Fund, to file and clear them with the proper authorities before they are put in use, and not to use them until so filed and cleared. At the request of the Trust, Distributor will assume responsibility for the review and clearance of all advertisements and sales literature. (d) DistributorThe UnderwriterDistributor, at its own expense, will qualify as dealer or broker, or otherwise, under all applicable state or federal laws required in order that Shares may be sold in such States as may be mutually agreed upon by the parties. (e) Distributor The UnderwriterDistributor shall not make, or permit any representative, broker or dealer to make, in connection with any sale or solicitation of a sale of the Shares, any representations concerning the Shares except those contained in the then current prospectus and statement of additional information covering the Shares and in printed information approved by the Trust Fund as information supplemental to such prospectus and statement of additional information. Copies of the then effective prospectus and statement of additional information and any such printed supplemental information will be supplied by TrendStar to the Trust to Distributor UnderwriterDistributor in reasonable quantities upon request.

Appears in 1 contract

Samples: Distribution Agreement (Trendstar Investment Trust)

Draft better contracts in just 5 minutes Get the weekly Law Insider newsletter packed with expert videos, webinars, ebooks, and more!