Common use of Compliance with Applicable Laws; Distribution of Prospectus and Reports; Confirmations Clause in Contracts

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 NASD 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, insofar as they are applicable to the relevant party (and its associated persons) from time to time in connection with its activities hereunder (“Applicable Laws”). Each party shall reasonably cooperate with the other party and its designees in connection with such other party’s audit functions and with regard to examinations by regulatory authorities. Such requests for cooperation shall be made in writing and submitted a reasonable time prior to the action requested. Also, each party shall reserve the right to seek reimbursement for unusual expenses incurred in connection with such audits and regulatory examinations. You are authorized to distribute to your customers the current Prospectus, as well as any supplemental sales material received from the Company and/or us (on the terms and for the period specified by the Company and/or 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. 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 NASD FINRA, as well as all applicable FINRA interpretive materials, 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, insofar as they that are applicable to the relevant party (and its associated persons) from time to time in connection with its activities hereunder (“Applicable Laws”). Each party shall reasonably cooperate with the other party and its designees in connection with such other party’s audit functions and with regard to examinations by regulatory authorities. Such requests for cooperation shall be made in writing and submitted a reasonable time prior to the action requested. Also, each party shall reserve the right to seek reimbursement for unusual expenses incurred in connection with such audits and regulatory examinations. You are authorized to distribute to your customers the current Prospectus, including, as applicable, the required form of Investor certification (the “Investor Certification”), as well as any supplemental sales material received from the Company and/or us Fund or the Distributor (acting on behalf of the Fund) (on the terms and for the period specified by the Company and/or us or stated in such material). You are not authorized to distribute, furnish or display any other sales or promotional material relating to a the Fund without our prior written approval, but you may identify the Funds Fund 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 the Fund from or through you, copies of all annual and interim reports, proxy solicitation materials, tender offer materials (as applicable) and any other information and materials relating to such Funds the Fund and prepared by or on behalf of the Funds Fund or us. You further agree to endeavor to obtain completed proxies from such purchasers and to forward them to the Fund. 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 applicable FINRA Conduct Rules of the NASD and all other 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, insofar as they that are applicable to the relevant party (and its associated persons) from time to time in connection with its activities hereunder (“Applicable Laws”). Each party shall reasonably cooperate with the other party and its designees in connection with such other party’s audit functions and with regard to examinations by regulatory authorities. Such requests for cooperation shall be made in writing and submitted a reasonable time prior to the action requested. Also, each party shall reserve the right to seek reimbursement for unusual expenses incurred in connection with such audits and regulatory examinations. You are authorized to distribute to your customers the current Prospectus, as well as Prospectus of each Xxxxxxx Fund and any supplemental sales material received from the Company and/or us (on the terms and for the period specified by the Company and/or 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. 00000 Xxxxxxxx Xxxxx, Xxxxx 000, Xxxxxxx, Xxxxx 00000 800-262-6631 xxxxxxxxxxxxxxx.xxx Unless otherwise mutually agreed in writing, you shall deliver or cause to be delivered to each customer who purchases shares of any Funds Shares from or through you, copies of all annual documents and interim reports, proxy solicitation materials, and any other information and materials relating required to such Funds and prepared be provided 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 . You shall send to your customers, or cause to be sent confirmations or sent, transaction confirmations, account statements, and such other reports to your customers containing such information 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 Xxxxxxx Funds harmless and to indemnify us and the Xxxxxxx 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 termination of this Agreement. For the avoidance of doubt, you acknowledge and agree that indemnification provided under this Section 4 shall be in addition to, and shall not limit or supersede, indemnification provided under Section 9 of this Agreement. You agree to respond to investor inquiries concerning Shares. You shall also immediately advise the Xxxxxxx Funds and us of all written complaints received by you from Fund shareholders (Shareholders) relating to transactions in the Xxxxxxx Funds or the maintenance of their accounts and shall promptly answer all such complaints and other similar correspondence, with copies provided to us.

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 NASD FINRA, as well as all applicable FINRA interpretive materials, 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, insofar as they that are applicable to the relevant party (and its associated persons) from time to time in connection with its activities hereunder (“Applicable Laws”). Each party shall reasonably cooperate with the other party and its designees in connection with such other party’s audit functions and with regard to examinations by regulatory authorities. Such requests for cooperation shall be made in writing and submitted a reasonable time prior to the action requested. Also, each party shall reserve the right to seek reimbursement for unusual expenses incurred in connection with such audits and regulatory examinations. You are authorized to distribute to your customers the current Prospectus, including, as applicable, the required form of Investor certification (the “Investor Certification”), as well as any supplemental sales material received from the Company and/or us Fund or the Distributor (acting on behalf of the Fund) (on the terms and for the period specified by the Company and/or 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, tender offer materials (as applicable) and any other information and materials relating to such Funds and prepared by or on behalf of the Funds or us. You further agree to endeavor to obtain completed proxies from such purchasers and to forward them to the applicable Fund. 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 applicable FINRA Conduct Rules of the NASD and all other 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, insofar as they that are applicable to the relevant party (and its associated persons) from time to time in connection with its activities hereunder (“Applicable Laws”). Each party shall reasonably cooperate with the other party and its designees in connection with such other party’s audit functions and with regard to examinations by regulatory authorities. Such requests for cooperation shall be made in writing and submitted a reasonable time prior to the action requested. Also10000 Xxxxxxxx Xxxxx, each party shall reserve the right to seek reimbursement for unusual expenses incurred in connection with such audits and regulatory examinations. Xxxxx 000, Xxxxxxx, Xxxxx 00000 800-000-0000 cxxxxxxxxxxxxxx.xxx You are authorized to distribute to your customers the current Prospectus, as well as Prospectus of each Sxxxxxx Fund and any supplemental sales material received from the Company and/or us (on the terms and for the period specified by the Company and/or 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. Unless otherwise mutually agreed in writing, you shall deliver or cause to be delivered to each customer who purchases shares of any Funds Shares from or through you, copies of all annual documents and interim reports, proxy solicitation materials, and any other information and materials relating required to such Funds and prepared be provided 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 . You shall send to your customers, or cause to be sent confirmations or sent, transaction confirmations, account statements, and such other reports to your customers containing such information 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 Sxxxxxx Funds harmless and to indemnify us and the Sxxxxxx 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 termination of this Agreement. For the avoidance of doubt, you acknowledge and agree that indemnification provided under this Section 4 shall be in addition to, and shall not limit or supersede, indemnification provided under Section 9 of this Agreement. You agree to respond to investor inquiries concerning Shares. You shall also immediately advise the Sxxxxxx Funds and us of all written complaints received by you from Fund shareholders (Shareholders) relating to transactions in the Sxxxxxx Funds or the maintenance of their accounts and shall promptly answer all such complaints and other similar correspondence, with copies provided to us.