Rules of NASD, etc. (a) Distributor will conform to the Rules of the NASD and the securities laws of 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 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 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. (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 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 the Fund to Distributor in reasonable quantities upon request.
Appears in 4 contracts
Samples: Distribution Agreement (Wallace Funds), Distribution Agreement (Forester Funds Inc), Distribution Agreement (Runkel Funds)
Rules of NASD, etc. (a) The Distributor will conform to the Rules of the NASD and the securities laws of any jurisdiction in which it sells, directly or indirectly, any Shares.
(b) The Distributor will require each dealer with whom the 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 the Distributor nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby.
(c) Distributor The Fund agrees to furnish to the Fund Distributor 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 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.
(d) The 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) The 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 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 the Fund to the Distributor in reasonable quantities upon request.
Appears in 3 contracts
Samples: Distribution Agreement (Builders Fixed Income Fund Inc), Distribution Agreement (Dividend Growth Trust), Distribution Agreement (Eastern Point Advisors Funds Trust)
Rules of NASD, etc. (a) The Distributor will conform to the Rules of the NASD and the securities laws of any jurisdiction in which it sells, directly or indirectly, any Shares.
(b) The Distributor will require each dealer with whom the 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 the Distributor nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby.
(c) Distributor The Trust agrees to furnish to the Fund Distributor 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 Distributor, on behalf of the FundTrust, 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.
(d) The 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) The 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 Fund 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 Fund Trust to the Distributor in reasonable quantities upon request.
Appears in 2 contracts
Samples: Distribution Agreement (Dreman Contrarian Funds), Distribution Agreement (Dreman Contrarian Funds)
Rules of NASD, etc. (a) Distributor will conform to the Rules of the NASD and the securities laws of 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 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 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.
(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 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 the Fund to Distributor in reasonable quantities upon request.
Appears in 2 contracts
Samples: Distribution Agreement (Access Variable Insurance Trust), Distribution Agreement (Imillennium Capital Trust)
Rules of NASD, etc. (a) Distributor Underwriter will conform to the Conduct Rules of the NASD and the securities laws of 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 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 Distributor, on behalf of the Fund, 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.
(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 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 the Fund to Distributor Underwriter in reasonable quantities upon request.
Appears in 2 contracts
Samples: Underwriting Agreement (Boyar Value Fund Inc), Underwriting Agreement (Boyar Value Fund Inc)
Rules of NASD, etc. (a) The Distributor will conform to the Rules of the NASD and the securities laws of any jurisdiction in which it sells, directly or indirectly, any Shares.
(b) The Distributor will require each dealer with whom the 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 the Distributor nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby.
(c) The Distributor agrees to furnish to the 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 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.
(d) The 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) The 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 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 the Fund to the Distributor in reasonable quantities upon request.
Appears in 2 contracts
Samples: Distribution Agreement (Ccmi Funds), Distribution Agreement (Sirius Investment Trust)
Rules of NASD, etc. (a) Distributor Underwriter will conform to the Rules of Fair Practice of the NASD and the securities laws of 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 Fund 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 Distributor, on behalf of the Fund, 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.
(d) Distributor, at its own expense, Underwriter 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 Fund 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 Fund Trust to Distributor Underwriter in reasonable quantities upon request.
Appears in 2 contracts
Samples: Underwriting Agreement (Dunhill Investment Trust), Underwriting Agreement (Maplewood Investment Trust /Ma/)
Rules of NASD, etc. (a) Distributor Underwriter will conform to the Rules of the NASD and the securities laws of 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 Fund 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 Distributor, on behalf of the Fund, 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.
(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 current prospectus and statement of additional information covering the Shares and in printed information approved by the Fund 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 Fund Trust to Distributor Underwriter in reasonable quantities upon request.
Appears in 2 contracts
Samples: Underwriting Agreement (Bjurman Funds), Underwriting Agreement (James Funds)
Rules of NASD, etc. (a) Distributor will conform to the Conduct Rules of the NASD and the securities laws of 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 Fund 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 Distributor, on behalf of the Fund, 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.
(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 states as may be mutually agreed upon by the parties.
(e) Distributor shall not make, or permit any representative, broker or dealer representative 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 Fund 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 Fund Trust to Distributor in reasonable quantities upon request.
Appears in 2 contracts
Samples: Distribution Agreement (Gannett Welsh & Kotler Funds), Distribution Agreement (Gannett Welsh & Kotler Funds)
Rules of NASD, etc. (a) The Distributor will conform to the NASD Rules of the NASD and the securities laws of any jurisdiction in which it sells, directly or indirectly, any Shares.
(b) The Distributor will require each dealer with whom the 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 the Distributor nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby.
(c) Distributor The Company agrees to furnish to the Fund Distributor 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 Distributor, on behalf of the FundCompany, 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.
(d) The 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) The 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 Fund Company 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 Fund Company to the Distributor in reasonable quantities upon request.
Appears in 1 contract
Rules of NASD, etc. (a) Distributor will conform to the Rules of the NASD and the securities laws of 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 The Trust agrees to furnish to the Fund Distributor 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 Distributor, on behalf of the Fund, Distributor 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.
(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 Fund 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 Fund Trust to Distributor in reasonable quantities upon request.
Appears in 1 contract
Samples: Distribution Agreement (GKM Funds)
Rules of NASD, etc. (a) Distributor will conform to the Conduct Rules of the NASD and the securities laws of 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 Fund 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 Distributor, on behalf of the Fund, 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.
(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 states as may be mutually agreed upon by the parties.
(e) Distributor shall not make, or permit any representative, broker or dealer representative 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 Fund 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 Fund Trust to Distributor in reasonable quantities upon request.
Appears in 1 contract
Rules of NASD, etc. (a) The Distributor will conform to the Rules of the NASD and the securities laws of any jurisdiction in which it sells, directly or indirectly, any Shares.
(b) The Distributor will require each dealer with whom the 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 the Distributor nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby.
(c) The Distributor agrees to furnish to the 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 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.
(d) DistributorThe 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) The 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 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 the Fund to the Distributor in reasonable quantities upon request.
Appears in 1 contract
Rules of NASD, etc. (a) Distributor will conform to the Rules of Fair Practice of the NASD and the securities laws of 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 Fund 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 Distributor, on behalf of the Fund, 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.
(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 states as may be mutually agreed upon by the parties.
(e) Distributor shall not make, or permit any representative, broker or dealer representative 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 Fund 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 Fund Trust to Distributor in reasonable quantities upon request.
Appears in 1 contract
Rules of NASD, etc. (a) Distributor Underwriter will conform to the Rules of Fair Practice of the NASD and the securities laws of 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 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 Distributor, on behalf of the Fund, 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.
(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 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 the Fund to Distributor Underwriter in reasonable quantities upon request.
Appears in 1 contract
Rules of NASD, etc. (a) Distributor will conform to the Rules of the NASD and the securities laws of 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 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 Distributor, on behalf of the Fund, 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.
(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 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 the Fund to Distributor in reasonable quantities upon request.
Appears in 1 contract
Rules of NASD, etc. (a) The Distributor will conform to the Rules of the NASD and the securities laws of any jurisdiction in which it sells, directly or indirectly, any Shares.
(b) The Distributor will require each dealer with whom the 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 the Distributor nor any such dealers shall withhold the placing of purchase orders so as to make a profit thereby.
(c) Distributor The Fund agrees to furnish to the Fund Distributor 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 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.
(d) The 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) The 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 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 Unified Financial Securities, Inc. 3/19/2004 API Trust - 2 printed supplemental information will be supplied by the Fund to the Distributor in reasonable quantities upon request.
Appears in 1 contract
Samples: Distribution Agreement (American Pension Investors Trust)
Rules of NASD, etc. (a) Distributor Underwriter will conform to the Rules of Fair Practice of the NASD and the securities laws of 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 Fund Company 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 Distributor, on behalf of the Fund, Company 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.
(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 Fund Company 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 Fund Company to Distributor Underwriter in reasonable quantities upon request.
Appears in 1 contract
Rules of NASD, etc. (a) Distributor Underwriter will conform to the Rules of the NASD and the securities laws of 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 Fund Company 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 Distributor, on behalf of the Fund, Company 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.
(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 Fund Company 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 Fund Company to Distributor Underwriter in reasonable quantities upon request.
Appears in 1 contract
Samples: Underwriting Agreement (Caldwell & Orkin Funds Inc)
Rules of NASD, etc. (a) Distributor Underwriter will conform to the Rules of Fair Practice of the NASD and the securities laws of any jurisdiction in which it sells, directly or indirectly, any Shares.
(b) Distributor Underwriter 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.whom
(c) Distributor Underwriter agrees to furnish to the Fund 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 Distributor, on behalf of the Fund, 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.
(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 Fund 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 Fund 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) Distributor Underwriter will conform to the Rules of Fair Practice of the NASD and the securities laws of 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 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 Underwriter shall not withhold the placing of purchase orders so as to make a profit thereby.
(c) Distributor Underwriter agrees to furnish to the 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 Distributor, on behalf of the Fund, 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.
(d) DistributorUnderwriter, 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 parties.
(e) Distributor Underwriter shall not make, or permit authorize any representative, Service Organization, 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 Prospectus covering the Shares and in printed information sales materials approved by the Fund Underwriter 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 Fund to Distributor Underwriter in reasonable quantities upon request.
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Rules of NASD, etc. (a) Distributor Underwriter will conform to the Rules of Fair Practice of the NASD and the securities laws of 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 Fund 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 Distributor, on behalf of the Fund, 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.
(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.or
(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 Fund 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 Fund Trust to Distributor Underwriter in reasonable quantities upon request.
Appears in 1 contract
Samples: Underwriting Agreement (Wells Family of Real Estate Funds)
Rules of NASD, etc. (a) Distributor will conform to the Rules of the NASD and the securities laws of 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 obtain the Fund sufficient copies prior approval of the Trust before entering into any agreements, agreements or plans or using any other materials it intends to use in connection with any sales of Shares in reasonably adequate time for the Distributor, on behalf of the FundShares. Distributor further agrees that, to the extent applicable, it will file and clear them such agreements, plans or materials with the proper authorities before they are put in use, and not to use them until so filed and cleared.
(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 Registration Statement covering the Shares and in printed other written information approved by the Fund as information supplemental to such prospectus and statement of additional informationTrust for use by the Distributor. Copies of the then effective prospectus and statement of additional information Registration Statement and any such printed written supplemental information will be supplied by the Fund Trust to Distributor in reasonable quantities upon request.
Appears in 1 contract
Rules of NASD, etc. (a) Distributor will conform to the Rules of the NASD and the securities laws of 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 Fund 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 Distributor, on behalf of the Fund, 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.
(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.
(ec) 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 Fund 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 Fund Trust to Distributor in reasonable quantities upon request.
Appears in 1 contract
Rules of NASD, etc. (a) Distributor Underwriter will conform to the Rules of the NASD and the securities laws of 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 Fund 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 Distributor, on behalf of the Fund, Trust to approve or request modifications to them and to file and clear them with the proper authorities before they are put in use, and not to use them until so approved, filed and cleared.
(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 Fund 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 Fund Trust to Distributor Underwriter in reasonable quantities upon request.
Appears in 1 contract
Rules of NASD, etc. (a) Distributor Underwriter will conform to the Rules of the NASD and the securities laws of 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 Fund 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 Distributor, on behalf of the Fund, 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.
(d) DistributorUnderwriter, at its own expense, will qualify as dealer or broker, or otherwise, under all applicable state or State of federal laws required of 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 in 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 Fund 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 Fund Trust to Distributor Underwriter in reasonable quantities upon request.
Appears in 1 contract
Samples: Underwriting Agreement (Profit Funds Investment Trust)
Rules of NASD, etc. (a) In providing services hereunder, Distributor will conform to comply with the Rules of the NASD NASD, the federal securities laws and the rules thereunder and the securities laws and regulations of any 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 Fund 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 Distributor, on behalf of the Fund, 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.to
(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 Fund 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 Fund Trust to Distributor in reasonable quantities upon request.
Appears in 1 contract
Rules of NASD, etc. (a) Distributor will conform to the Rules of the NASD and the securities laws of 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 Fund 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 Distributor, on behalf of the Fund, 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.
(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 Fund 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 Fund Trust to Distributor in reasonable quantities upon request.
Appears in 1 contract