Rules of NASD. (a) Fund/Plan will conform to the Rules of Fair Practice of the NASD and the securities laws of any jurisdiction in which it directly or indirectly sells any Shares.
Rules of NASD. (a) Polynous Securities will conform to the Conduct Rules of the NASD and the applicable securities laws and regulations of any jurisdiction in which it directly or indirectly offers or sells any Shares.
Rules of NASD. (a) Beacon will conform to the Rules of Fair Practice of the NASD and the securities laws of any jurisdiction in which it directly or indirectly sells any Shares. (b) Beacon will require each dealer with whom Beacon has a selling agreement to conform to the applicable provisions of the Prospectus, with respect to the public offering price of the Shares, and Beacon shall not cause the Trust to withhold the placing of purchase orders so as to make a profit thereby. (c) The Trust agrees to furnish to Beacon sufficient copies of any and all: agreements, plans, communications with the public or other materials which the Trust or Beacon intends to use in connection with any sales of Shares in adequate time for Beacon to file and clear such materials with the proper authorities before they are put in use. Beacon and the Trust may agree that any such material does not need to be filed subsequent to distribution. In addition, the Trust agrees not to use any such materials until so filed and cleared for use by appropriate authorities as well as by Beacon. (d) Beacon, at its own expense, will qualify as a dealer or broker, or otherwise, under all applicable state or federal laws required in order that the Shares may be sold in such states as may be mutually agreed upon by the Parties. (e) Beacon shall remain registered with the U.S. Securities and Exchange Commission and a member of the National Association of Securities Dealers for the term of this Agreement. (f) Beacon shall not, in connection with any sale or solicitation of a sale of the Shares, make or authorize any representative, Service Organization, broker or dealer to make, any representations concerning the Shares except those contained in the Prospectus covering the Shares and in communications with the public or sales materials approved by Beacon as information supplemental to such Prospectus. Copies of the Prospectus will be supplied by the Trust to Beacon in reasonable quantities upon request. 5.
Rules of NASD. (a) Fund/Plan will conform to the Rules of Fair Practice of the NASD and the securities laws of any jurisdiction in which it directly or indirectly sells any Shares. (b) Fund/Plan will require each dealer with whom Fund/Plan has a selling agreement to conform to the applicable provisions of the Prospectus, with respect to the public offering price of the Shares, and Fund/Plan shall not cause the Trust to withhold the placing of purchase orders so as to make a profit thereby. (c) The Trust agrees to furnish to Fund/Plan sufficient copies of any agreements, plans, communications with the public or other materials it intends to use in connection with any sales of Shares in adequate time for Fund/Plan to file and clear (unless Fund/Plan and the Trust agree that any such material may be filed subsequent to distribution) such materials with the proper authorities before they are put in use unless Fund/Plan and the Trust agree that any such material may be filed subsequent to distribution. In addition, the Trust agrees not to use any such materials until so filed and cleared for use by appropriate authorities and Fund/Plan.
Rules of NASD. (a) Fund/Plan will conform to the Rules of Fair Practice of the NASD and the securities laws of any jurisdiction in which it directly or indirectly sells any Shares. (b) Fund/Plan will require each dealer with whom Fund/Plan has a selling agreement to conform to the applicable provisions of the Prospectus, with respect to the public offering price of the Shares, and Fund/Plan shall not cause the Tax Exempt Bond Fund to withhold the placing of purchase orders so as to make a profit thereby. (c) The Tax Exempt Bond Fund and IAA Trust agree to furnish to Fund/Plan sufficient copies of any and all: agreements, plans, communications with the public or other materials which the Tax Exempt Bond Fund or IAA Trust intends to use in connection with any sales of Shares in adequate time for Fund/Plan to file and clear such materials with the proper authorities before they are put in use. Fund/Plan and the Tax Exempt Bond Fund or IAA Trust may agree that any such material does not need to be filed prior to distribution. In addition, the Tax Exempt Bond Fund and IAA Trust agree not to use any such materials until so filed and cleared for use by appropriate authorities as well as by Fund/Plan.
Rules of NASD. (a) Polynous Securities will conform to the Conduct Rules of the NASD and the applicable securities laws and regulations of any jurisdiction in which it directly or indirectly offers or sells any Shares. (b) Polynous Securities will require each dealer with whom Polynous Securities has a selling agreement to conform to the applicable provisions of the Prospectus, with respect to the public offering price of the Shares, and Polynous Securities shall not cause the Trust to withhold the placing of purchase orders so as to make a profit thereby. (c) The Trust and Polynous agree to use reasonable efforts to furnish to Polynous Securities sufficient copies of any and all: agreements, plans, communications with the public or other materials which the Trust or Polynous intends to use in connection with any sales of Shares ("Sales Materials"), in adequate time for Polynous Securities to file and clear such Sales Materials with the proper authorities before they are put in use, and Polynous Securities shall be responsible for making all such required regulatory filings in a timely manner at its own expense. Polynous Securities and the Trust or Polynous may agree that any such Sales Materials do not need to be filed subsequent to distribution. In addition, the Trust and Polynous agree not to use any such Sales Materials until so filed and cleared for use by appropriate authorities as well as by Polynous Securities. (d) Polynous Securities, at its own expense, will qualify as a dealer or broker, or otherwise, under all applicable state or federal laws required in order that the Shares may be sold in such states as may be mutually agreed upon by the Parties. (e) Polynous Securities shall remain registered as a broker dealer with the U.S. Securities and Exchange Commission and a member of the National Association of Securities Dealers for the term of this Agreement. (f) Polynous Securities shall not, in connection with any sale or solicitation of a sale of the Shares, make or authorize any representative, service organization, broker or dealer to make any representations concerning the Shares, except those contained in the Prospectus covering the Shares and in communications with the public or sales materials approved by Polynous Securities as information supplemental to such Prospectus. Copies of the Prospectus will be supplied by the Trust or Polynous to Polynous Securities in reasonable quantities upon request.
Rules of NASD. (a) SSH will conform to the Conduct Rules of the NASD and the securities laws of any jurisdiction in which it directly or indirectly sells any Shares.
Rules of NASD. (a) Fund/Plan will conform to the Rules of Fair Practice of the NASD and the securities laws of any jurisdiction in which it directly or indirectly sells any Shares. (b) Fund/Plan will require each dealer with whom Fund/Plan has a selling agreement to conform to the applicable provisions of the Prospectus, with respect to the public offering price of the Shares, and Fund/Plan shall not cause the Trust to withhold the placing of purchase orders so as to make a profit thereby. ================================================================================ Underwriting Agreement between The Milestone Funds, Milestone Capital Management, L.P. and Fund/Plan Broker Services, Inc.
Rules of NASD. (a) FPSB will conform to the Rules of Fair Practice of the NASD and the securities laws of any jurisdiction in which it directly or indirectly sells any Shares.
Rules of NASD. (a) Xxxxxxx Partners will conform to the Rules of Fair Practice of the NASD and the securities laws of any jurisdiction in which it sells, directly or indirectly, any Shares. (b) Xxxxxxx Partners will require each dealer with whom Xxxxxxx Partners has a selling agreement to conform to the applicable provisions of the prospectus, with respect to the public offering price of the Shares, and Xxxxxxx Partners shall not cause the Trust to withhold the placing of purchase orders so as to make a profit thereby. (c) The Trust agrees to furnish to Xxxxxxx Partners sufficient copies of any agreements, plans, communications with the public or other materials it intends to use in connection with any sales of Shares in adequate time for Xxxxxxx Partners to file and clear such materials with the proper
