Common use of Securities Laws Clause in Contracts

Securities Laws. Registration statements under the 1933 Act and the 1934 Act have been filed and are currently effective, or will be effective prior to the sale of any Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund will immediately notify Transfer Agent of any information to the contrary;

Appears in 27 contracts

Samples: Agency and Service Agreement (Nuveen Variable Rate Preferred & Income Fund), Agency and Service Agreement (Nuveen Multi-Asset Income Fund), Agency and Service Agreement (Nuveen Core Plus Impact Fund)

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Securities Laws. Registration statements under the 1933 Act and the 1934 Act Act, have been filed and are currently effective, or will be effective prior to the sale of any SharesAdditional Common Stock, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any Shares shares of Additional Common Stock which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund Company will immediately notify Transfer Agent of any information to the contrary;.

Appears in 14 contracts

Samples: Subscription Agent Agreement (Liberty All Star Growth Fund Inc.), Subscription Agent Agreement (Liberty All Star Growth Fund Inc.), Subscription Agent Agreement (Gabelli Convertible & Income Securities Fund Inc)

Securities Laws. Registration statements under the 1933 Act and the 1934 Act have been filed and are currently effective, or will be effective prior to the sale of any Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund Company will immediately notify Transfer Agent of any information to the contrary;

Appears in 6 contracts

Samples: Agency and Service Agreement (Cbre Global Real Estate Income Fund), Transfer Agency and Service Agreement (Hercules Capital, Inc.), Transfer Agency and Service Agreement (Firsthand Technology Value Fund, Inc.)

Securities Laws. Registration statements under the 1933 Act and the 1934 Act have been filed and are currently effectivewere effective at the time of, or will be effective prior to to, the sale of any Shares, and will remain so effectiveeffective for so long as required by applicable law, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund will immediately notify Transfer Agent of any information to the contrary;

Appears in 5 contracts

Samples: The Transfer Agency and Service Agreement (Guggenheim Active Allocation Fund), Agency and Service Agreement (Guggenheim Taxable Municipal Managed Duration Trust), Transfer Agency and Service Agreement (Advent Claymore Convertible Securities & Income Fund)

Securities Laws. Registration statements under the 1933 Act and the 1934 Act have been filed and are currently effective, or will be effective prior to the sale of any Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund will immediately notify Transfer Agent of any information to the contrary;

Appears in 5 contracts

Samples: Agency and Service Agreement (Virtus Stone Harbor Emerging Markets Income Fund), Transfer Agency and Service Agreement (Invesco High Income 2024 Target Term Fund), Transfer Agency and Service Agreement (Invesco High Income Trust II)

Securities Laws. Registration statements under the 1933 Act and the 1934 Act Act, have been filed and are currently effective, or will be effective prior to the sale of any SharesAdditional Common Stock, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any Shares shares of Additional Common Stock which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund Company will immediately promptly notify Transfer Agent of any information to the contrary;.

Appears in 4 contracts

Samples: Agent Agreement (Gabelli Utility Trust), Agent Agreement (Gabelli Equity Trust Inc), Agent Agreement (Gabelli Global Small & Mid Cap Value Trust)

Securities Laws. Registration statements under the 1933 Act and the 1934 Act have been filed and are currently effective, or will be effective prior to the sale of any Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund will immediately notify Transfer Agent of any information to the contrary;of

Appears in 2 contracts

Samples: Transfer Agency and Service Agreement (Fundrise Growth Tech Fund, LLC), Transfer Agency and Service Agreement (Fundrise Income Real Estate Fund, LLC)

Securities Laws. Registration statements under the 1933 Act and the 1934 Act have been filed and are currently effective, or will be effective prior to the sale of any Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act Act, and state securities laws; Fund Customer will immediately notify Transfer Agent DTAC of any information to the contrary;

Appears in 2 contracts

Samples: Transfer Agency and Service Agreement (Arca U.S. Treasury Fund), Form of Transfer Agency and Service Agreement (Arca U.S. Treasury Fund)

Securities Laws. Registration statements under the 1933 Act and the 1934 Exchange Act have been filed and are currently effective, or will be effective prior to the sale of any Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Exchange Act and state securities laws; Fund Company will immediately notify Transfer Agent of any information to the contrary;.

Appears in 2 contracts

Samples: Agency and Service Agreement (StoneCastle Financial Corp.), Agency and Service Agreement (StoneCastle Financial Corp.)

Securities Laws. Registration statements under the 1933 Act and the Securities Exchange Act of 1934 Act (the “1934 Act”) have been filed and are currently effective, or will be effective prior to the sale of any Additional Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale sale, except for any Additional Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund Company will immediately notify Transfer Agent of any information to the contrary;; and

Appears in 1 contract

Samples: Subscription Agent Agreement (Liberty All Star Equity Fund)

Securities Laws. Registration statements A registration statement under the 1933 Act and the 1934 Act have has been filed and are is currently effective, or will be effective prior to the sale of any Additional Common Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all of the Additional Common Shares being offered for sale sale, except for any Additional Common Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund Company will immediately notify Transfer Agent of any information to the contrary;; and

Appears in 1 contract

Samples: Subscription Agent Agreement (Aberdeen Income Credit Strategies Fund)

Securities Laws. Registration statements under the Securities Act of 1933 Act (“1933 Act”) and the 1934 Act Act, have been filed and are currently effective, or will be effective prior to the sale of any Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund Purchaser will immediately notify Transfer Agent of any information to the contrary;; and

Appears in 1 contract

Samples: Depositary and Information Agent Agreement (Nuveen Taxable Municipal Income Fund)

Securities Laws. Registration statements under the 1933 Act and the 1934 Act Act, have been filed and are currently effective, or will be effective prior to the sale of any Additional Common Shares and Preferred Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any Additional Common Shares and Preferred Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund will immediately notify Transfer Agent of any information to the contrary;.

Appears in 1 contract

Samples: Subscription Agent Agreement (Gabelli Global Utility & Income Trust)

Securities Laws. Registration statements under the 1933 Act and the 1934 Act Act, have been filed and are currently effective, or will be effective prior to the sale of any Additional Common Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any Additional Common Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund Company will immediately notify Transfer Agent of any information to the contrary;.

Appears in 1 contract

Samples: Subscription and Information Agent Agreement (Cushing Renaissance Fund)

Securities Laws. Registration statements under the 1933 Act and the 1934 Act Act, have been filed and are currently effective, or will be effective prior to the sale of any Series C Preferred Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any shares of Series C Preferred Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund Company will immediately promptly notify Transfer Agent of any information to the contrary;.

Appears in 1 contract

Samples: Subscription Agent Agreement (GDL Fund)

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Securities Laws. Registration statements under the 1933 Act and the 1934 Act have been filed and are currently effective, or will be effective prior to the sale of any SharesTokens, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares Tokens being offered for sale except for any Shares Tokens which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act Act, and state securities laws; Fund Customer will immediately notify Transfer Agent TTA of any information to the contrary;

Appears in 1 contract

Samples: Transfer Agency and Service Agreement (INX LTD)

Securities Laws. Registration statements under the Securities Act of 1933, as amended (“1933 Act Act”) and the 1934 Act have been filed and are currently effective, or will be effective prior to the sale of any Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale sale, except for any Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund the Trust will immediately promptly notify Transfer Agent of any information to the contrary;

Appears in 1 contract

Samples: Agency and Service Agreement (Thornburg Income Builder Opportunities Trust)

Securities Laws. Registration statements A registration statement under the 1933 Act and the 1934 Act have has been filed and are is currently effective, or will be effective prior to the sale of any Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all of the Additional Common Shares being offered for sale sale, except for any Additional Common Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund Company will immediately promptly notify Transfer Agent of any information to the contrary;; and

Appears in 1 contract

Samples: Agent Agreement (BlackRock Science & Technology Trust)

Securities Laws. Registration statements under the 1933 Act and the 1934 Act have been filed and are currently effective, or will be effective prior to the sale of any Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund each LLC will immediately notify Transfer Agent of any information to the contrary;

Appears in 1 contract

Samples: Transfer Agency and Service Agreement (Fundrise Real Estate Interval Fund, LLC)

Securities Laws. Registration statements under the 1933 Act and the 1934 Act Act, have been filed and are currently effective, or will be effective prior to the sale of any Additional EXKVIII Page 9 Common Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any Additional Common Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund Company will immediately notify Transfer Agent of any information to the contrary;.

Appears in 1 contract

Samples: Subscription and Information Agent Agreement (Cushing Renaissance Fund)

Securities Laws. Registration statements under the Securities Act of 1933 Act (“1933 Act”) and the 1934 Act Act, have been filed and are currently effective, or will be effective prior to the sale of any Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund Seller Representative will immediately notify Transfer Agent of any information to the contrary;.

Appears in 1 contract

Samples: Escrow Agreement (Blackhawk Network Holdings, Inc)

Securities Laws. Registration statements under the 1933 Act and the 1934 Act Act, have been filed and are currently effective, or will be effective prior to the sale of any SharesAdditional Common Stock, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any Shares shares of Additional Common Stock which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund Company will immediately notify Transfer Agent of any information to the contrary;, and

Appears in 1 contract

Samples: Subscription Agent Agreement (Enterprise Bancorp Inc /Ma/)

Securities Laws. Registration statements under the 1933 Act and the Securities Exchange Act of 1934, as amended (“1934 Act Act”) have been filed and are currently effective, or will be effective prior to the sale of any Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund Company will immediately notify Transfer Agent of any information to the contrary;

Appears in 1 contract

Samples: Transfer Agency and Service Agreement (Pf Royalty I LLC)

Securities Laws. Registration statements under the Securities Act of 1933, as amended (“1933 Act Act”), and the 1934 Act Act, have been filed and are currently effective, or will be effective prior to the sale of any Shares, and will remain so effective, and all appropriate state securities law filings have been made with respect to all Shares being offered for sale except for any Shares which are offered in a transaction or series of transactions which are exempt from the registration requirements of the 1933 Act, 1934 Act and state securities laws; Fund . Purchaser will immediately notify Transfer Agent of any information to the contrary;.

Appears in 1 contract

Samples: Depositary Agreement (BlackRock Fixed Income Value Opportunities II)

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