Compliance with Applicable Laws; Distribution of Prospectus and Reports; Confirmations Sample Clauses

Compliance with Applicable Laws; Distribution of Prospectus and Reports; Confirmations. In connection with its respective activities hereunder, each party agrees to abide by the Conduct Rules of FINRA and all other rules of self-regulatory organizations of which the relevant party is a member, as well as all laws, rules and regulations, including federal and state securities laws, that are applicable to the relevant party (and its associated persons) from time to time in connection with its activities hereunder (“Applicable Laws”). You are authorized to distribute to your customers the current Prospectus, as well as any supplemental sales material received from the Fund or the Distributor (acting on behalf of the Fund) (on the terms and for the period specified by us or stated in such material). You are not authorized to distribute, furnish or display any other sales or promotional material relating to a Fund without our prior written approval, but you may identify the Funds in a listing of mutual funds available through you to your customers. Unless otherwise mutually agreed in writing, you shall deliver or cause to be delivered to each customer who purchases shares of any Funds from or through you, copies of all annual and interim reports, proxy solicitation materials, and any other information and materials relating to such Funds and prepared by or on behalf of the Funds or us. If required by Rule 10b-10 under the Securities Exchange Act or other Applicable Laws, you shall send or cause to be sent confirmations or other reports to your customers containing such information as may be required by Applicable Laws.

Compliance with Applicable Laws; Distribution of Prospectus and Reports; Confirmations. In connection with its respective activities hereunder, each party agrees to abide by the Conduct Rules of the FINRA and all other rules of self-regulatory organizations of which the relevant party is a member, as well as all laws, rules and regulations, including federal and state securities laws, that are applicable to the relevant party (and its associated persons) from time to time in connection with its activities hereunder ("Applicable Laws"). You are authorized to distribute to your customers the current prospectus of each Fund, the SAI upon request of a customer, and any supplemental sales material received from us (on the terms and for the period specified by us or stated in such material). You are not authorized to distribute, furnish or display any other sales or promotional material relating to a Fund without our written approval, but you may identify the Funds in a listing of funds available through you to your customers. Unless otherwise mutually agreed in writing, you shall deliver or cause to be delivered to each customer who purchases shares of any Fund from or through you, copies of all legally required documents, as required by law. If required by Rule 10b-10 under the Securities Exchange Act or other Applicable Laws, you shall send or cause to be sent confirmations or other reports to your customers containing such information as may be required by Applicable Laws. You agree to respond to investor inquiries concerning the Fund and to the best of your ability to contact all shareholders in the Funds to whom you have sold shares on a periodic basis to provide them with such information about the Funds as we will reasonably provide to you.

Compliance with Applicable Laws; Distribution of Prospectus and Reports; Confirmations. In connection with its respective activities hereunder, each party agrees to abide by applicable FINRA Conduct Rules and all applicable rules of other self-regulatory organizations of which the relevant party is a member, as well as all applicable laws, rules and regulations, including federal and state securities laws, that are applicable to the relevant party (and its associated persons) in connection with its activities hereunder (Applicable Laws). You are authorized to distribute to your customers the Prospectus of each ▇▇▇▇▇▇▇ Fund and any supplemental sales material received from us (on the terms and for the period specified by us or stated in such material). You are not authorized to distribute, furnish or display any other sales or promotional material relating to a Fund without our written approval, but you may identify the Funds in a listing of mutual funds available through you to your customers. No person is, however, authorized to make any representation concerning Shares of any Fund except such representations contained in the Prospectus. ▇▇▇▇▇ ▇▇▇▇▇▇▇▇ ▇▇▇▇▇, ▇▇▇▇▇ ▇▇▇, ▇▇▇▇▇▇▇, ▇▇▇▇▇ ▇▇▇▇▇ 800-262-6631 ▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇.▇▇▇ Unless otherwise mutually agreed in writing, you shall deliver or cause to be delivered to each customer who purchases Shares from or through you, copies of all documents and information required to be provided by Applicable Laws. You shall send to your customers, or cause to be sent, transaction confirmations, account statements, and such other reports as may be required by Applicable Laws. You shall offer and sell Shares only in accordance with the terms and conditions of the Prospectus of each Fund, and you shall make no representations not included in the Prospectus or in any authorized supplemental material supplied by us. You agree to be responsible for the proper instruction and training of all sales personnel employed by you, in order that such Shares will be offered in accordance with the terms and conditions of this Agreement and all Applicable Laws. You agree to hold us and the ▇▇▇▇▇▇▇ Funds harmless and to indemnify us and the ▇▇▇▇▇▇▇ Funds in the event that you, or any of your sales representatives, violate any law, regulation or rule, or any provisions of this Agreement, which violation may result in liability to us and/or any Fund; and in the event that we and/or such Fund determine to refund any amounts paid by any investor by reason of any such violation on your part. Such indemnification shall survive the...

Compliance with Applicable Laws; Distribution of Prospectus and Reports; Confirmations. (a) In connection with its respective activities hereunder, each Party shall abide by the Conduct Rules of FINRA and all other rules of self-regulatory organizations of which it is a member, as well as all laws, rules and regulations, including federal and state securities laws, that are applicable to it (and its associated persons) from time to time in connection with its activities hereunder (“Applicable Laws”). Intermediary is authorized to distribute to Intermediary’s customers the current Prospectus, as well as any supplemental sales material received from the Fund or Distributor (acting on behalf of the Fund) (on the terms and for the period specified by Distributor or stated in such material). Intermediary is not authorized to distribute, furnish or display any other sales or promotional material relating to the Fund without Distributor’s prior written approval, but Intermediary may identify the Fund in a listing of closed-end funds available through Intermediary to its customers. Unless otherwise mutually agreed in writing, Intermediary shall deliver or cause to be delivered to each customer who purchases Shares from or through Intermediary, copies of all annual and interim reports, proxy solicitation materials, and any other information and materials relating to the Fund and prepared by or on behalf of the Fund or Distributor. If required by Rule 10b-10 under the Securities Exchange Act or other Applicable Laws, Intermediary shall send or cause to be sent confirmations or other reports to its customers containing such information as may be required by Applicable Laws. (b) Distributor acknowledges and agrees that Intermediary may deliver Broker-Supplied Fund Materials (as defined below) to customers and/or otherwise use such materials with customers for marketing or other purposes. As used herein, the term “Broker-Supplied Fund Materials” shall include any materials prepared by Intermediary or its affiliates that (i) relate to the Fund, (ii) are not Research Reports (as defined in Section 4(c) of this agreement) and (iii) either only contain the name of the Fund or have been approved in writing by Distributor. For the avoidance of doubt, any description of the Fund contained in Broker-Supplied Fund Materials other than the name of the Fund must be approved in writing by Distributor in advance of its use. Intermediary agrees that it will not use in connection with the offer or sale of Shares any materials or writings which have not been previously a...

Compliance with Applicable Laws; Distribution of Prospectus and Reports; Confirmations. In connection with its respective activities hereunder, each party agrees to abide by applicable FINRA Conduct Rules and all applicable rules of other self-regulatory organizations of which the relevant party is a member, as well as all applicable laws, rules and regulations, including federal and state securities laws, that are applicable to the relevant party (and its associated persons) in connection with its activities hereunder (Applicable Laws).