Licensing. a. Dealer represents and warrants that it is: (i) a broker-dealer registered with the Securities and Exchange Commission ("SEC"); (ii) a member in good standing of the National Association of Securities Dealers, Inc. ("NASD"); and (iii) licensed by the appropriate regulatory agency of each state or other jurisdiction in which Dealer will offer and sell Shares of the Funds, to the extent necessary to perform the duties and activities contemplated by this Agreement.
Appears in 48 contracts
Samples: Dealer Agreement (Prudential Tax Free Money Fund Inc), Dealer Agreement (Prudential Small Cap Quantum Fund Inc), Dealer Agreement (Prudential Equity Income Fund)
Licensing. a. Dealer represents and warrants that it isthat: (i) it is a broker-dealer registered with the Securities and Exchange Commission ("SEC"); (ii) it is a member in good standing of the National Association of Securities Dealers, Inc. ("NASD"); and (iii) licensed by it is responsible for the appropriate regulatory agency supervision of each state or other jurisdiction in which Dealer will offer its registered representatives and sell Shares of the Funds, to the extent necessary to perform the duties and activities contemplated by this Agreementassociated persons.
Appears in 3 contracts
Samples: Selected Dealer Agreement (Morgan Stanley Fundamental Value Fund), Form of Selected Dealer Agreement (Morgan Stanley FX Series Funds), Selected Dealer Agreement (Morgan Stanley Series Funds)
Licensing. a. Dealer represents and warrants that it is: (i) a i)a broker-dealer registered with the Securities and Exchange Commission ("SEC"); (ii) a ii)a member in good standing of the National Association of Securities Dealers, Inc. ("NASD"); and (iii) licensed iii)licensed by the appropriate regulatory agency of each state or other jurisdiction in which Dealer will offer and sell Shares of the Funds, to the extent necessary to perform the duties and activities contemplated by this Agreement.
Appears in 1 contract
