Officers and Directors. No person is serving or acting as an officer, trustee or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration Statement, each preliminary prospectus and the Prospectus (or any amendment or supplement to any of them), no trustee of the Fund is (A) an “interested person” (as defined in the 0000 Xxx) of the Fund or (B) an “affiliated person” (as defined in the 0000 Xxx) of any Underwriter.
Appears in 42 contracts
Samples: Underwriting Agreement (Nuveen Arizona Dividend Advantage Municipal Fund 3), Underwriting Agreement (Nuveen Connecticut Dividend Advantage Municipal Fund 3), Underwriting Agreement (Nuveen Insured Dividend Advantage Municipal Fund)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser manager of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “"Advisers Act”"), and the rules and regulations of the Commission promulgated under the Advisers Act (the “"Advisers Act Rules and Regulations”"). Except as disclosed in the Registration Statement, each preliminary prospectus Statement and the Prospectus (or any amendment or supplement to any either of them), no trustee director of the Fund is (A) an “"interested person” " (as defined in the 0000 Xxx) of the Fund or (B) an “"affiliated person” " (as defined in the 0000 Xxx) of any UnderwriterUnderwriter listed in Schedule A hereto.
Appears in 14 contracts
Samples: Purchase Agreement (Cohen & Steers Premium Income Realty Fund Inc), Auction Agency Agreement (Cohen & Steers Advantage Income Realty Fund Inc), Form of Purchase Agreement (Cohen & Steers Quality Income Realty Fund Inc)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and 1940 Act Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration Statement, each preliminary prospectus the Preliminary Prospectus and the Prospectus (or any amendment or supplement Prospectus, to any of them)the Fund’s knowledge after due inquiry, no trustee director of the Fund is (A) an “interested personInterested Person” (as defined in the 0000 Xxx) of the Fund or (B) an “affiliated personAffiliated Person” (as defined in the 0000 Xxx) of any UnderwriterUnderwriter listed in Schedule A hereto. For purposes of the second sentence of this Section, the Fund is entitled to rely on representations from such directors.
Appears in 12 contracts
Samples: Underwriting Agreement (Priority Income Fund, Inc.), Underwriting Agreement (Priority Income Fund, Inc.), Underwriting Agreement (Priority Income Fund, Inc.)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration Statement, each preliminary prospectus the General Disclosure Package and the Prospectus (or any amendment or supplement Prospectus, to any of them)the Fund’s knowledge after due inquiry, no trustee director of the Fund is (A) an “interested personInterested Person” (as defined in the 0000 Xxx) of the Fund or (B) an “affiliated personAffiliated Person” (as defined in the 0000 Xxx) of any Underwriterthe Agent.
Appears in 9 contracts
Samples: Equity Distribution Agreement (Tortoise Energy Capital Corp), Sales Agreement (Tortoise MLP Fund, Inc.), Equity Offeringsm Sales Agreement (Tortoise Energy Infrastructure Corp)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Investment Company Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “"Advisers Act”"), and the rules and regulations of the Commission promulgated under the Advisers Act (the “"Advisers Act Rules and Regulations”"). Except as disclosed in the Registration Statement, each preliminary prospectus Statement and the Prospectus (or any amendment or supplement to any either of them), no trustee director of the Fund is (A) an “"interested person” " (as defined in the 0000 XxxInvestment Company Act) of the Fund or (B) an “"affiliated person” " (as defined in the 0000 XxxInvestment Company Act) of any the Underwriter.
Appears in 9 contracts
Samples: Purchase Agreement (Muniholdings Fund Inc), Purchase Agreement (Munivest Fund Inc), Purchase Agreement (Muniyield Fund Inc)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Investment Company Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “"Advisers Act”"), and the rules and regulations of the Commission promulgated under the Advisers Act (the “"Advisers Act Rules and Regulations”"). Except as disclosed in the Registration Statement, each preliminary prospectus Statement and the Prospectus (or any amendment or supplement to any either of them), no trustee director of the Fund is (A) an “"interested person” " (as defined in the 0000 XxxInvestment Company Act) of the Fund or (B) an “"affiliated person” " (as defined in the 0000 XxxInvestment Company Act) of any Underwriter.
Appears in 8 contracts
Samples: Purchase Agreement (Capital & Income Strategies Fund Inc), Purchase Agreement (Corporate High Yield Vi), Purchase Agreement (Floating Rate Income Strategies Fund Ii Inc)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers ActADVISERS ACT”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and RegulationsADVISERS ACT RULES AND REGULATIONS”). Except as disclosed in the Registration Statement, each preliminary prospectus the General Disclosure Package and the Prospectus (or any amendment or supplement Prospectus, to any of them)the Fund’s knowledge after due inquiry, no trustee director of the Fund is (A) an “interested personInterested Person” (as defined in the 0000 Xxx) of the Fund or (B) an “affiliated personAffiliated Person” (as defined in the 0000 Xxx) of any UnderwriterUnderwriter that serves as a Representative.
Appears in 6 contracts
Samples: Underwriting Agreement (Tortoise Energy Infrastructure Corp), Underwriting Agreement (Tortoise Energy Infrastructure Corp), Underwriting Agreement (Tortoise Energy Infrastructure Corp)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Investment Company Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration Statement, each preliminary prospectus Statement and the Prospectus (or any amendment or supplement to any either of them), no trustee director of the Fund is (A) an “interested person” (as defined in the 0000 XxxInvestment Company Act) of the Fund or (B) an “affiliated person” (as defined in the 0000 XxxInvestment Company Act) of any Underwriter. For purposes of this Section 1(a)(vii), the Subadviser shall be entitled to rely on written representations from such officers and trustees.
Appears in 5 contracts
Samples: Purchase Agreement (Defined Strategy Fund, Inc.), Purchase Agreement (Global Income & Currency Fund Inc.), Purchase Agreement (NASDAQ Premium Income & Growth Fund Inc.)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and 1940 Act Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Original Registration Statement, each preliminary prospectus the Preliminary Prospectus and the Prospectus (or any amendment or supplement Prospectus, to any of them)the Fund’s knowledge after due inquiry, no trustee director of the Fund is (A) an “interested personInterested Person” (as defined in the 0000 Xxx) of the Fund or (B) an “affiliated personAffiliated Person” (as defined in the 0000 Xxx) of any UnderwriterUnderwriter listed in Schedule A hereto. For purposes of the second sentence of this Section, the Fund is entitled to rely on representations from such directors.
Appears in 4 contracts
Samples: Underwriting Agreement (Gabelli Multimedia Trust Inc.), Underwriting Agreement (Gabelli Equity Trust Inc), Underwriting Agreement (Gabelli Equity Trust Inc)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Investment Company Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration Statement, each preliminary prospectus Statement and the Prospectus (or any amendment or supplement to any either of them), no trustee director of the Fund is (A) an “interested person” (as defined in the 0000 XxxInvestment Company Act) of the Fund or (B) an “affiliated person” (as defined in the 0000 XxxInvestment Company Act) of any Underwriter.
Appears in 4 contracts
Samples: Purchase Agreement (Small Cap Premium & Dividend Income Fund, Inc.), Of Purchase Agreement (S&P 500 Covered Call Fund Inc.), Purchase Agreement (MLP & Strategic Equity Fund Inc.)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers ActADVISERS ACT”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and RegulationsADVISERS ACT RULES AND REGULATIONS”). Except as disclosed in the Registration Statement, each preliminary prospectus the General Disclosure Package and the Prospectus (or any amendment or supplement Prospectus, to any of them)the Fund’s knowledge after due inquiry, no trustee director of the Fund is (A) an “interested personInterested Person” (as defined in the 0000 1000 Xxx) of the Fund or (B) an “affiliated personAffiliated Person” (as defined in the 0000 1000 Xxx) of any Underwriterthe Placement Agent.
Appears in 3 contracts
Samples: Placement Agency Agreement (Tortoise Energy Infrastructure Corp), Placement Agency Agreement (Tortoise Energy Infrastructure Corp), Tortoise Energy Infrastructure Corp
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Investment Company Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration Statement, each preliminary prospectus the Prospectus and the Prospectus (or any amendment or supplement Time of Sale Prospectus, to any of them)the Fund’s knowledge after due inquiry, no trustee director of the Fund is (A) an “interested personInterested Person” (as defined in the 0000 XxxInvestment Company Act) of the Fund or (B) an “affiliated personAffiliated Person” (as defined in the 0000 XxxInvestment Company Act) of any Underwriter.
Appears in 3 contracts
Samples: Underwriting Agreement (Salient MLP & Energy Infrastructure Fund), Underwriting Agreement (Tortoise MLP Fund, Inc.), Administration Agreement (Tortoise Pipeline & Energy Fund, Inc.)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration Statement, each preliminary prospectus the General Disclosure Package and the Prospectus (or any amendment or supplement to any either of them), no trustee director of the Fund is (A) an “interested person” (as defined in the 0000 Xxx) of the Fund or (B) an “affiliated person” (as defined in the 0000 Xxx) of any Underwriter.
Appears in 3 contracts
Samples: Underwriting Agreement (Brookfield Global Listed Infrastructure Income Fund Inc.), Cohen & Steers MLP Income & Energy Opportunity Fund, Cohen & Steers LTD Duration Preferred & Income Fund, Inc.
Officers and Directors. No person individual or entity (“Person”) is serving or acting as an officer, trustee or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”)amended, and the rules and regulations of the Commission promulgated under the Advisers Act thereunder (the “Advisers Act Rules and RegulationsAct”). Except as disclosed in the Registration Statement, each preliminary prospectus the Time of Sale Prospectus and the Prospectus (or any amendment or supplement to any of them), no trustee of the Fund is (A) an “interested person” (as defined in the 0000 Xxx1940 Act) of the Fund or (B) an “affiliated person” (as defined in the 0000 Xxx1940 Act) of any the Underwriter.
Appears in 2 contracts
Samples: Underwriting Agreement (Nuveen Senior Income Fund), Investment Management Agreement (Nuveen Short Duration Credit Opportunities Fund)
Officers and Directors. No person individual or entity (“Person”) is serving or acting as an officer, trustee or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”)amended, and the rules and regulations of the Commission promulgated under the Advisers Act thereunder (the “Advisers Act Rules and RegulationsAct”). Except as disclosed in the Registration Statement, each preliminary prospectus the Time of Sale Prospectus and the Prospectus (or any amendment or supplement to any of them), no trustee of the Fund is (A) an “interested person” (as defined in the 0000 Xxx) of the Fund or (B) an “affiliated person” (as defined in the 0000 Xxx) of any the Underwriter.
Appears in 2 contracts
Samples: Underwriting Agreement (Nuveen Floating Rate Income Fund), Underwriting Agreement (Nuveen Floating Rate Income Opportunity Fund)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers ActADVISERS ACT”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and RegulationsADVISERS ACT RULES AND REGULATIONS”). Except as disclosed in the Registration Statement, each preliminary prospectus the General Disclosure Package and the Prospectus (or any amendment or supplement Prospectus, to any of them)the Fund’s knowledge after due inquiry, no trustee director of the Fund is (A) an “interested personInterested Person” (as defined in the 0000 1000 Xxx) of the Fund or (B) an “affiliated personAffiliated Person” (as defined in the 0000 1000 Xxx) of any UnderwriterUnderwriter that serves as a Representative.
Appears in 2 contracts
Samples: Underwriting Agreement (Tortoise Energy Infrastructure Corp), Underwriting Agreement (Tortoise Energy Capital Corp)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration Statement, each preliminary prospectus Statement and the Prospectus (or any amendment or supplement to any either of them), no trustee director of the Fund is (A) an “interested person” (as defined in the 0000 1000 Xxx) of the Fund or (B) an “affiliated person” (as defined in the 0000 1000 Xxx) of any Underwriter.
Appears in 2 contracts
Samples: SunAmerica Focused Alpha Large-Cap Fund, Inc., SunAmerica Focused Alpha Growth Fund, Inc.
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration Statement, each preliminary prospectus the General Disclosure Package and the Prospectus (or any amendment or supplement to any of them), no trustee director of the Fund is (A) an “interested person” (as defined in the 0000 Xxx) of the Fund or (B) an “affiliated person” (as defined in the 0000 Xxx) of any Underwriter.
Appears in 1 contract
Samples: Underwriting Agreement (Neuberger Berman Next Generation Connectivity Fund Inc.)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration Statement, each preliminary prospectus the Statutory Prospectus and the Prospectus (or any amendment or supplement to any of them), no trustee director of the Fund is (A) an “interested person” (as defined in the 0000 Xxx1940 Act) of the Fund or (B) an “affiliated person” (as defined in the 0000 Xxx1940 Act) of the Distributor or any UnderwriterDealer. For purposes of this Section 1(a)(x), the Fund and the Advisers shall be entitled to rely on representations from such officers and directors.
Appears in 1 contract
Samples: Initial Offering Period Agreement (BNY Mellon Alcentra Global Multi-Strategy Credit Fund, Inc.)
Officers and Directors. No person is serving or acting as an officer, trustee or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration Statement, each preliminary prospectus and the Prospectus (or any amendment or supplement to any of them), no trustee of the Fund is (A) an “interested person” (as defined in the 0000 1000 Xxx) of the Fund or (B) an “affiliated person” (as defined in the 0000 1000 Xxx) of any Underwriter.
Appears in 1 contract
Samples: Underwriting Agreement (Nuveen Ohio Dividend Advantage Municipal Fund)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration StatementStatement or Prospectus, each preliminary prospectus and to the Prospectus (or any amendment or supplement to any of them)Fund’s knowledge after due inquiry, no trustee director of the Fund is (A) an “interested person” (as defined in the 0000 1000 Xxx) of the Fund or (B) an “affiliated person” (as defined in the 0000 1000 Xxx) of any UnderwriterUnderwriter that serves as a Representative.
Appears in 1 contract
Samples: Underwriting Agreement (Tortoise Energy Capital Corp)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers ActADVISERS ACT”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and RegulationsADVISERS ACT RULES AND REGULATIONS”). Except as disclosed in the Registration Statement, each preliminary prospectus the General Disclosure Package and the Prospectus (or any amendment or supplement Prospectus, to any of them)the Fund’s knowledge after due inquiry, no trustee director of the Fund is (A) an “interested personInterested Person” (as defined in the 1940 Act) of the Fund or an “Affiliated Person” (as defined in the 0000 Xxx) of the Fund or (B) an “affiliated person” (as defined in the 0000 Xxx) of any UnderwriterPlacement Agent.
Appears in 1 contract
Samples: Placement Agency Agreement (Tortoise Energy Capital Corp)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration Statement, each preliminary prospectus and Statement or the Prospectus (or any amendment or supplement to any either of them), to the knowledge of the Fund after due inquiry, no trustee director of the Fund is (A) an “interested person” (as defined in the 0000 1000 Xxx) of the Fund or (B) an “affiliated person” (as defined in the 0000 1000 Xxx) of any Underwriter.
Appears in 1 contract
Samples: DWS Rreef World (DWS RREEF World Real Estate & Tactical Strategies Fund, Inc.)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration Statement, each preliminary prospectus Statement and the Prospectus (or any amendment or supplement to any either of them), no trustee director of the Fund is (A) an “interested person” (as defined in the 0000 Xxx) of the Fund or (B) an “affiliated person” (as defined in the 0000 Xxx) of any Underwriter.
Appears in 1 contract
Samples: Purchase Agreement (Duff & Phelps Utility & Corporate Bond Trust Inc)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration Statement, each preliminary prospectus the General Disclosure Package and the Prospectus (or any amendment or supplement to any either of them), no trustee of the Fund is (A) an “interested person” (as defined in the 0000 Xxx) of the Fund or (B) an “affiliated person” (as defined in the 0000 Xxx) of any Underwriter.
Appears in 1 contract
Samples: Underwriting Agreement (Prudential Global Short Duration High Yield Fund, Inc.)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration Statement, each preliminary prospectus the General Disclosure Package and the Prospectus (or any amendment or supplement to any either of them), no trustee of the Fund is (A) an “interested person” (as defined in the 0000 Xxx1940 Act) of the Fund or (B) an “affiliated person” (as defined in the 0000 Xxx1940 Act) of any Underwriterthe Dealer. For the purposes of this Section 1(x) the Fund and the Advisers shall be entitled to rely on representations from such officers and directors.
Appears in 1 contract
Samples: Western Asset (Western Asset Middle Market Debt Fund Inc.)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”"ADVISERS ACT"), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”"ADVISERS ACT RULES AND REGULATIONS"). Except as disclosed in the Registration Statement, each preliminary prospectus the General Disclosure Package and the Prospectus (or any amendment or supplement Prospectus, to any of them)the Fund's knowledge after due inquiry, no trustee director of the Fund is (A) an “interested person” "Interested Person" (as defined in the 0000 Xxx1940 Act) of the Fund or (B) an “affiliated person” "Affiliated Person" (as defined in the 0000 Xxxxx xxx 0940 Act) of any Underwriterthe Placement Agent.
Appears in 1 contract
Samples: Tortoise Energy Capital Corp
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration StatementStatement or Prospectus, each preliminary prospectus and to the Prospectus (or any amendment or supplement to any of them)Fund’s knowledge after due inquiry, no trustee director of the Fund is (A) an “interested personInterested Person” (as defined in the 0000 Xxx) of the Fund or (B) an “affiliated personAffiliated Person” (as defined in the 0000 Xxx) of any UnderwriterUnderwriter that serves as a Representative.
Appears in 1 contract
Samples: Underwriting Agreement (Tortoise Energy Infrastructure Corp)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration Statement, each preliminary prospectus the General Disclosure Package and the Prospectus (or any amendment or supplement to any either of them), no trustee of the Fund is (A) an “interested person” (as defined in the 0000 Xxx1940 Act) of the Fund or (B) an “affiliated person” (as defined in the 0000 Xxx1940 Act) of any UnderwriterDealer. For the purposes of this Section 1(x) the Fund and the Advisers shall be entitled to rely on representations from such officers and directors.
Appears in 1 contract
Samples: Initial Offering Period Agreement (Western Asset Middle Market Income Fund Inc.)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”). Except as disclosed in the Registration Statement, each preliminary prospectus the General Disclosure Package and the Prospectus (or any amendment or supplement to any either of them), no trustee director of the Fund is (A) an “interested person” (as defined in the 0000 Xxx) of the Fund or (B) an “affiliated person” (as defined in the 0000 Xxx) of any Underwriter. For the purpose of this Section 1(a)(x), the Fund and the Advisers shall be entitled to rely on the representations from such officers and directors.
Appears in 1 contract
Samples: Underwriting Agreement (Legg Mason BW Global Income Opportunities Fund Inc.)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “"Advisers Act”"), and the rules and regulations of the Commission promulgated under the Advisers Act (the “"Advisers Act Rules and Regulations”"). Except as disclosed in the Registration StatementStatement or Prospectus, each preliminary prospectus and to the Prospectus (or any amendment or supplement to any of them)Fund's knowledge after due inquiry, no trustee director of the Fund is (A) an “interested person” "Interested Person" (as defined in the 0000 Xxx) of the Fund or (B) an “affiliated person” "Affiliated Person" (as defined in the 0000 Xxx) of any UnderwriterUnderwriter that serves as a Representative.
Appears in 1 contract
Samples: Tortoise Energy Capital Corp
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers ActADVISERS ACT”), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and RegulationsADVISERS ACT RULES AND REGULATIONS”). Except as disclosed in the Registration Statement, each preliminary prospectus the General Disclosure Package and the Prospectus (or any amendment or supplement Prospectus, to any of them)the Fund’s knowledge after due inquiry, no trustee director of the Fund is (A) an “interested personInterested Person” (as defined in the 0000 1000 Xxx) of the Fund or (B) an “affiliated personAffiliated Person” (as defined in the 0000 1000 Xxx) of any the Underwriter.
Appears in 1 contract
Samples: Purchase Agreement (Tortoise Energy Infrastructure Corp)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “Advisers Act”"ADVISERS ACT"), and the rules and regulations of the Commission promulgated under the Advisers Act (the “Advisers Act Rules and Regulations”"ADVISERS ACT RULES AND REGULATIONS"). Except as disclosed in the Registration Statement, each preliminary prospectus the General Disclosure Package and the Prospectus (or any amendment or supplement Prospectus, to any of them)the Fund's knowledge after due inquiry, no trustee director of the Fund is (A) an “interested person” "Interested Person" (as defined in the 0000 Xxx) of the Fund or (B) an “affiliated person” "Affiliated Person" (as defined in the 0000 Xxx) of any UnderwriterUnderwriter that serves as a Representative.
Appears in 1 contract
Samples: Underwriting Agreement (Tortoise Energy Capital Corp)
Officers and Directors. No person is serving or acting as an officer, trustee director or investment adviser of the Fund except in accordance with the provisions of the 1940 Act and the Rules and Regulations and the Investment Advisers Act of 1940, as amended (the “"Advisers Act”"), and the rules and regulations of the Commission promulgated under the Advisers Act (the “"Advisers Act Rules and Regulations”"). Except as disclosed in the Registration Statement, each preliminary prospectus and Statement or the Prospectus (or any amendment or supplement to any either of them), to the knowledge of the Fund after due inquiry, no trustee director of the Fund is (A) an “"interested person” " (as defined in the 0000 Xxx) of the Fund or (B) an “"affiliated person” " (as defined in the 0000 Xxx) of any Underwriter.
Appears in 1 contract
Samples: Scudder Commodities Stock Fund, Inc.
