Common use of Compliance Matters Clause in Contracts

Compliance Matters. (a) You shall act as a distributor and principal underwriter of Shares in compliance in all material respects with all applicable laws, rules and regulations, including, without limitation, all rules and regulations made or adopted pursuant to (i) the 1940 Act, (ii) the Securities Exchange Act of 1934 (“1934 Act”), (iii) any securities association registered under the 1934 Act, including without limitation the NASD Conduct Rules or rules of any other applicable self-regulatory organization. You shall offer the Shares, and accept purchases, redemptions and exchanges for Shares, in compliance with the Fund’s registration statement (including its prospectus and statement of additional information), as it may be amended or supplemented from time to time (“Registration Statement”). You will comply with and abide by the terms of a Fund’s Plan, as it may be amended from time to time.

Appears in 48 contracts

Samples: Distribution Agreement and Assumption (Legg Mason Partners Appreciation Fund, Inc), Distribution Agreement (Smith Barney Multiple Discipline Trust), Distribution Agreement (Greenwich Street Series Fund)

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Compliance Matters. (a) You shall act as a distributor and principal underwriter of Shares in compliance in all material respects with all applicable laws, rules and regulations, including, without limitation, all rules and regulations made or adopted pursuant to (i) the 1940 Act, (ii) the Securities Exchange Act of 1934 ("1934 Act"), (iii) any securities association registered under the 1934 Act, including without limitation the NASD Conduct Rules or rules of any other applicable self-regulatory organization. You shall offer the Shares, and accept purchases, redemptions and exchanges for Shares, in compliance with the Fund’s 's registration statement (including its prospectus and statement of additional information), as it may be amended or supplemented from time to time ("Registration Statement"). You will comply with and abide by the terms of a Fund’s 's Plan, as it may be amended from time to time.

Appears in 38 contracts

Samples: Distribution Agreement and Assumption (Legg Mason Partners Investment Funds, Inc.), Distribution Agreement (Legg Mason Partners Massachusetts Municipals Fund), Distribution Agreement (Legg Mason Partners Massachusetts Municipals Fund)

Compliance Matters. (a) You shall act as a distributor and principal underwriter of Shares in compliance in all material respects with all applicable laws, rules and regulations, including, without limitation, all rules and regulations made or adopted pursuant to (i) the 1940 Act, (ii) the Securities Exchange Act of 1934 (1934 Act), (iii) any securities association registered under the 1934 Act, including without limitation the NASD Conduct Rules or rules of any other applicable self-regulatory organization. You shall offer the Shares, and accept purchases, redemptions and exchanges for Shares, in compliance with the Fund’s 's registration statement (including its prospectus and statement of additional information), as it may be amended or supplemented from time to time (Registration Statement). You will comply with and abide by the terms of a Fund’s 's Plan, as it may be amended from time to time.

Appears in 5 contracts

Samples: Distribution Agreement (Smith Barney Oregon Municipals Fund), Distribution Agreement (Legg Mason Partners California Municipals Fund, Inc), Distribution Agreement and Assumption (Legg Mason Partners California Municipals Fund, Inc)

Compliance Matters. (a) You shall act as a distributor and principal underwriter of Shares in compliance in all material respects with all applicable laws, rules and regulations, including, without limitation, all rules and regulations made or adopted pursuant to (i) the 1940 Act, (ii) the Securities Exchange Act of 1934 1934, as amended (“1934 Act”), (iii) any securities association registered under the 1934 Act, including without limitation the NASD Conduct Rules or rules of any other applicable self-regulatory organization. You shall offer the Shares, and accept purchases, redemptions and exchanges for Shares, in compliance with the Fund’s registration statement (including its prospectus and statement of additional information), as it may be amended or supplemented from time to time (“Registration Statement”). You will comply with and abide by the terms of a Fund’s Plan, as it may be amended from time to time.

Appears in 2 contracts

Samples: Legg Mason Partners Trust Ii, Legg Mason Partners Series Funds, Inc.

Compliance Matters. (a) You shall act as a distributor and principal underwriter of Shares in compliance in all material respects with all applicable laws, rules and regulations, including, without limitation, all rules and regulations made or adopted pursuant to (i) the 1940 Act, (ii) the Securities Exchange Act of 1934 ("1934 Act"), (iii) any securities association registered under the 1934 Act, including without limitation the NASD Conduct Rules or rules of any other applicable self-self- regulatory organization. You shall offer the Shares, and accept purchases, redemptions and exchanges for Shares, in compliance with the Fund’s 's registration statement (including its prospectus and statement of additional information), as it may be amended or supplemented from time to time ("Registration Statement"). You will comply with and abide by the terms of a Fund’s 's Plan, as it may be amended from time to time.

Appears in 2 contracts

Samples: Distribution Agreement and Assumption (Legg Mason Partners Oregon Municipals Fund), Distribution Agreement (Legg Mason Partners Appreciation Fund, Inc)

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Compliance Matters. (a) You shall act as a distributor and principal underwriter of Shares in compliance incompliance in all material respects with all applicable laws, rules and regulations, including, without limitation, all rules and regulations made or adopted pursuant to (i) the 1940 Act, (ii) the Securities Exchange Act of 1934 (“1934 Act”), (iii) any securities association registered under the 1934 Act, including without limitation the NASD Conduct Rules or rules of any other applicable self-regulatory organization. You shall offer the Shares, and accept purchases, redemptions and exchanges for Shares, in compliance with the Fund’s registration statement (including its prospectus and statement of additional information), as it may be amended or supplemented from time to time (“Registration Statement”). You will comply with and abide by the terms of a Fund’s Plan, as it may be amended from time to time.

Appears in 1 contract

Samples: Distribution Agreement (Smith Barney Trust Ii)

Compliance Matters. (a) You shall act as a distributor and principal underwriter of Shares in compliance in all material respects with all applicable laws, rules and regulations, including, without limitation, all rules and regulations made or adopted pursuant to (i) the 1940 Act1940Act, (ii) the Securities Exchange Act of 1934 ("1934 Act"), (iii) any securities association registered under the 1934 Act, including without limitation the NASD Conduct Rules or rules of any other applicable self-regulatory organization. You shall offer the Shares, and accept purchases, redemptions and exchanges for Shares, in compliance with the Fund’s 's registration statement (including its prospectus and statement of additional information), as it may be amended or supplemented from time to time ("Registration Statement"). You will comply with and abide by the terms of a Fund’s 's Plan, as it may be amended from time to time.

Appears in 1 contract

Samples: Distribution Agreement (Legg Mason Partners Fundamental Value Fund, Inc)

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