Common use of State Filing Requirements Clause in Contracts

State Filing Requirements. a. Upon request, Distributor shall notify Intermediary of the states or other jurisdictions in which each Fund’s Shares are currently noticed, registered or qualified for offer or sale to the public. Distributor shall have no obligation to make notice filings of, register or qualify, or to maintain notice filings of, registration of or qualification of, a Fund’s Shares in any particular state or other jurisdiction. Intermediary shall comply with requests of Distributor for information about the Intermediary’s Customers that are Fund shareholders that Distributor properly may require in order for the Companies to make notice and other applicable filings under state law, as well as to qualify for any applicable exemptions. b. Distributor shall not be responsible for any notices or other applicable filings that are necessary to permit Intermediary to engage in the offer and sale of mutual fund shares or the provision of services contemplated hereunder under state law.

Appears in 6 contracts

Samples: Sales Agreement (Pimco Funds), Sales Agreement, Sales Agreement (Pimco Funds)

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State Filing Requirements. a. A. Upon request, Distributor shall notify Intermediary of the states or other jurisdictions in which each Fund’s Shares are currently noticed, registered or qualified for offer or sale to the public. Distributor shall have no obligation to make notice filings of, register or qualify, or to maintain notice filings of, registration of or qualification of, a Fund’s Shares in any particular state or other jurisdiction. Intermediary shall comply with requests of Distributor for information about the Intermediary’s Customers customers that are Fund shareholders that Distributor properly may require in order for the Companies Funds to make notice and other applicable filings under state law, as well as to qualify for any applicable exemptions. b. B. Distributor shall not be responsible for any notices or other applicable filings that are necessary to permit Intermediary to engage in the offer and sale of mutual fund shares or the provision of services contemplated hereunder under state law.

Appears in 5 contracts

Samples: Selling and/or Services Agreement (Highland Global Allocation Fund), Selling and/or Services Agreement (Highland Global Allocation Fund Ii), Selling and/or Services Agreement (Highland Floating Rate Opportunities Fund Ii)

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State Filing Requirements. a. Upon request, Distributor Administrator shall notify Intermediary of the states or other jurisdictions in which each Fund’s Shares are currently noticed, registered or qualified for offer or sale to the public. Distributor Administrator shall have no obligation to make notice filings of, register or qualify, or to maintain notice filings of, registration of or qualification of, a Fund’s Shares in any particular state or other jurisdiction. Intermediary shall comply with requests of Distributor Administrator for information about the Intermediary’s Customers customers that are Fund shareholders that Distributor Administrator properly may require in order for the Companies to make notice and other applicable filings under state law, as well as to qualify for any applicable exemptions. b. Neither Administrator nor Distributor shall not be responsible for any notices or other applicable filings that are necessary to permit Intermediary or any Indirect Intermediary to engage in the offer and sale of mutual fund shares or the provision of services contemplated hereunder under state law.

Appears in 4 contracts

Samples: Sales Agreement (PIMCO Flexible Municipal Income Fund), Sales Agreement (Pimco Funds), Sales Agreement (Pimco Funds)

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