Net Capital. The incurrence by us of our obligations hereunder and under the Purchase Agreement in connection with the offering of the Securities will not place us in violation of the net capital requirements of Rule 15c3-1 under the 1934 Act, or, if we are a financial institution subject to regulation by the Board of Governors of the Federal Reserve System, the Comptroller of the Currency or the Federal Deposit Insurance Corporation, will not place us in violation of the capital requirements of such regulator or any other regulator to which we are subject.
Appears in 33 contracts
Samples: Master Agreement Among Underwriters (DWS RREEF World Real Estate & Tactical Strategies Fund, Inc.), Form of Master Agreement (Nuveen Enhanced Municipal Value Fund), Form of Master Agreement (Nuveen Enhanced Municipal Value Fund)
Net Capital. The We represent and warrant that the incurrence by us of our obligations hereunder and under the Purchase Agreement in connection with the offering of the Securities will not place us in violation of the net capital requirements of Rule 15c3-1 under the 1934 Act, if such requirements are applicable to us, or, if we are a financial institution subject to regulation by the Board of Governors of the Federal Reserve System, the Comptroller of the Currency or the Federal Deposit Insurance Corporation, will not place us in violation of the capital requirements of such regulator or any other regulator to which we are subject.
Appears in 23 contracts
Samples: Master Selected Dealers Agreement (Tekla World Healthcare Fund), Master Selected Dealers Agreement (Tekla Healthcare Opportunities Fund), Master Selected Dealers Agreement (Center Coast MLP & Infrastructure Fund)
Net Capital. The incurrence by us of our obligations hereunder and under the Purchase Agreement in connection with the offering of the Securities will not place us in violation of the net capital requirements of Rule 15c3-1 under the 1934 Act, Act or, if we are a financial institution subject to regulation by the Board of Governors of the Federal Reserve System, the Comptroller of the Currency or the Federal Deposit Insurance Corporation, will not place us in violation of the capital requirements of such regulator or any other regulator to which we are subject.
Appears in 2 contracts
Samples: Master Agreement (Calamos Convertible Opportunities & Income Fund), Master Agreement (Calamos Convertible Opportunities & Income Fund)
Net Capital. The We represent that the incurrence by us of our obligations hereunder and under the Purchase Agreement in connection with the offering of the Securities will not place us in violation of the net capital requirements of Rule 15c3-1 under the 1934 Exchange Act, if such requirements are applicable to us, or, if we are a financial institution subject to regulation by the Board of Governors of the Federal Reserve System, the Comptroller of the Currency or the Federal Deposit Insurance Corporation, will not place us in violation of the capital requirements of such regulator or any other regulator to which we are subject.
Appears in 1 contract
Net Capital. The incurrence by us of our obligations hereunder and under the Purchase Agreement in connection with the offering of the Securities will not place us in violation of the net capital requirements of Rule 15c3-1 1, under the 1934 Act, or, if we are a financial institution subject to regulation by the Board of Governors of the Federal Reserve System, System the Comptroller of the Currency or the Federal Deposit Insurance Corporation, will not place us in violation of the capital requirements of such regulator or any other regulator to which we are subject.
Appears in 1 contract
Samples: Master Agreement (Cohen & Steers Quality Income Realty Fund Inc)
Net Capital. The incurrence by us of our obligations hereunder and under the Purchase Underwriting Agreement in connection with the offering Offering of the Securities will not place us in violation of the net capital requirements of Rule 15c3-1 under the 1934 Act, or, if we are a financial institution subject to regulation by the Board of Governors of the Federal Reserve System, the Comptroller of the Currency or the Federal Deposit Insurance Corporation, will not place us in violation of the capital requirements of such regulator or any other regulator to which we are subject.
Appears in 1 contract
Net Capital. The incurrence by us of or our obligations hereunder and under the Purchase Agreement in connection with the offering of the Securities will not place us in violation of the net capital requirements of Rule 15c3-1 under the 1934 Act, or, if we are a financial institution subject to regulation by the Board of Governors of the Federal Reserve System, the Comptroller of the Currency or the Federal Deposit Insurance Corporation, will not place us in violation of the capital requirements of such regulator or any other regulator to which we are subject.
Appears in 1 contract
Samples: Master Agreement (Scudder Commodities Stock Fund, Inc.)
Net Capital. The incurrence by us of our obligations obligation hereunder and under the Purchase Underwriting Agreement in connection with the offering of the Securities will not place us in violation of the net capital requirements of Rule 15c3-1 under the 1934 Act, or, if we are a financial institution subject to regulation by the Board of Governors of the Federal Reserve System, the Comptroller of the Currency or the Federal Deposit Insurance Corporation, will not place us in violation of the capital requirements of such regulator or any other regulator to which we are subject.
Appears in 1 contract
Net Capital. The We represent that the incurrence by us of our obligations hereunder and under the Purchase Underwriting Agreement in connection with the offering of the Securities will not place us in violation of the net capital requirements of Rule 15c3-1 under the 1934 Exchange Act, if such requirements are applicable to us, or, if we are a financial institution subject to regulation by the Board of Governors of the Federal Reserve System, the Comptroller of the Currency or the Federal Deposit Insurance Corporation, will not place us in violation of the capital requirements of such regulator or any other regulator to which we are subject.Insurance
Appears in 1 contract
Samples: Master Agreement (Softworks Inc)
Net Capital. The incurrence by us of our obligations hereunder and under the Purchase Underwriting Agreement in connection with the offering of the Securities will not place us in violation of the net capital requirements of Rule 15c3-1 under the 1934 Exchange Act, or, if we are a financial institution subject to regulation by the Board of Governors of the Federal Reserve System, the Comptroller of the Currency or the Federal Deposit Insurance Corporation, will not place us in violation of the capital requirements of such regulator or any other regulator to which we are subject.
Appears in 1 contract
Samples: U S Laboratories Inc