Status as Registered Broker/Dealer. (a) Each party to this Agreement represents to the other party that (i) it is registered as a broker/dealer under the 1934 Act, (ii) it is qualified to act as a broker/dealer in the states where it transacts business, and (iii) it is a member in good standing of the National Association of Securities Dealers, Inc. ("NASD"). Each party agrees to maintain its broker/dealer registration and qualifications and its NASD membership in good standing throughout the term of this Agreement. Each party agrees to abide by all of the NASD's rules and regulations, including the NASD's Conduct Rules -- in particular, Section 2830 of such Rules, which section is deemed a part of and is incorporated by reference in this Agreement. This Agreement will terminate automatically without notice in the event that either party's NASD membership is terminated.
Status as Registered Broker/Dealer. (a) You represent that you are and will remain a member in good standing of the National Association of Securities Dealers, Inc. ("NASD"), and agree to abide by all of its rules and regulations including its Rules of Conduct. You further agree to comply with all applicable state and federal laws and rules and regulations of regulatory agencies having jurisdiction. Reference is hereby specifically made to Section 2830 of the Conduct Rules of the NASD, which is incorporated herein by reference. The termination of your membership in the NASD or any breach of said Section 2830 will immediately and automatically terminate this Agreement. You further represent that you are qualified to act as a broker/dealer in the states where you transact business.
Status as Registered Broker/Dealer. (a) Each party to this Agreement represents to the other party that (i) it is registered as a broker/dealer under the 1934 Act, (ii) it is qualified to act as a broker/dealer in the states where it transacts business, and (iii) it is a member in good standing of the Financial Industry Regulatory Authority (“FINRA”). Each party agrees to maintain its broker/dealer registration and qualifications and its FINRA membership in good standing throughout the term of this Agreement. Each party agrees to comply with all applicable state and federal laws and with the rules and regulations of authorized regulatory agencies thereunder. Each party agrees to abide by all of the FINRA’s rules and regulations, including the FINRA’s Conduct Rules — in particular, Section 2341 of such Rules, which section is deemed a part of and is incorporated by reference in this Agreement. This Agreement will terminate automatically without notice in the event that either party’s FINRA membership is terminated.
Status as Registered Broker/Dealer. (a) You represent that you are and will remain a member in good standing of the NASD, and agree to abide by all of its rules and regulations including its Rules of Conduct. You further agree to comply with all applicable state and federal laws and rules and regulations of regulatory agencies having jurisdiction. Reference is hereby specifically made to Section 2830 of the Conduct Rules of the NASD, which is incorporated herein by reference. The termination of your membership in the NASD or any breach of said Section 2830 will immediately and automatically terminate this Agreement. You further represent that you are qualified or registered to act as a broker/dealer in the states where you transact business. You agree that you will maintain such qualifications in full force and effect throughout the term of this Agreement. You agree to offer and sell Fund shares only in the states and other jurisdictions in which we have indicated that such offers and sales can be made and in which you are qualified to so act.
Status as Registered Broker/Dealer. Xxxxxxx hereby represents and warrants ---------------------------------- that it is duly registered as a broker/dealer under the Securities Exchange Act of 1934 ("1934 Act"); that it is qualified to act as a broker/dealer in the states and jurisdictions where it transacts business; and that, to its knowledge, it is a member in good standing of the National Association of Securities Dealers, Inc. ("NASD"). Xxxxxxx agrees to maintain its broker/dealer registration and qualifications and its NASD membership in good standing throughout the term of this Agreement. Xxxxxxx shall be responsible for determining the suitability of any Funds as investments for their customers, and that Distributor and Fund Company has no responsibility for such determination. Each party agrees to abide by all of the rules and regulations of the NASD, including, without limitation, the NASD's Conduct Rules; in particular, Rule 2830 thereof is deemed a part of and is incorporated by reference into this Agreement.
Status as Registered Broker/Dealer. (a) You represent that you are and will remain a member in good standing of the National Association of Securities Dealers, Inc. ("NASD"), and agree to abide by all of its rules and regulations including its Rules of Conduct. You further agree to comply with all applicable state and federal laws and rules and regulations of regulatory agencies having jurisdiction. Reference is hereby specifically made to Section 2830 of the Conduct Rules of the NASD, which is incorporated herein by reference. The termination of your membership in the NASD or any breach of said Section 2830 will immediately and automatically terminate this Agreement. You further represent that you are qualified to act as a broker/dealer in the states where you transact business. You further agree that, in making any sales to purchasers within the United States of securities acquired from the Distributor or the Accessor Funds, you will conform to the provisions of paragraphs (a) and (b) of Rule 2420 of the NASD's Conduct Rules.
Status as Registered Broker/Dealer. (a) Each party to this Agreement represents to the other party that (i) it is registered as a broker/dealer under the 1934 Act, (ii) it is qualified to act as a broker/dealer in the states where it transacts business, and (iii) it is a member in good standing of the Financial Industry Regulatory Authority (“FINRA”). Each party agrees to maintain its broker/dealer registration and qualifications and its FINRA membership in good standing throughout the term of this Agreement. Each party agrees to abide by all of FINRA’s rules and regulations, including the applicable Conduct Rules -- in particular, Section 2341 of such Rules, which section is deemed a part of and is incorporated by reference in this Agreement. This Agreement will terminate automatically without notice in the event that either party’s FINRA membership is terminated.
Status as Registered Broker/Dealer. Intermediary hereby represents and warrants that it is duly registered as a broker/dealer under the Securities Exchange Act of 1934 (the "1934 Act"); that it is qualified to act as a broker/dealer in the states and jurisdictions where it transacts business; and that, to its knowledge, it is a member in good standing of the Financial Industry Regulatory Authority ("FINRA"). Intermediary agrees to maintain its broker/dealer registration and qualifications and its FINRA membership in good standing throughout the term of this Agreement. Intermediary agrees to notify the Fund Company promptly in the event that it ceases to be a member in good standing of FINRA or to be registered as a broker/dealer under the 1934 Act. Intermediary agrees to abide by all of the rules and regulations of FINRA.
