Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or any of the Fund’s trustees or officers, in their capacities as such, to comply in any material respect with any provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”), including Sections 302 and 906 related to certifications.
Appears in 14 contracts
Samples: Sales Agreement (Calamos Convertible & High Income Fund), Sales Agreement (Calamos Convertible Opportunities & Income Fund), Sales Agreement (Calamos Global Total Return Fund)
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or, to the knowledge of the Fund or the Adviser, any of the Fund’s trustees directors or officers, in their capacities as such, to comply in any all material respect respects with any provision all applicable provisions of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”), including Sections 302 and 906 related to certificationstherewith.
Appears in 13 contracts
Samples: Sales Agreement (Kayne Anderson MLP Investment CO), Sales Agreement (Kayne Anderson MLP Investment CO), Sales Agreement (Kayne Anderson MLP Investment CO)
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or any of the Fund’s trustees or officers, in their capacities as such, to comply in any material respect with any provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”)therewith, including Sections 302 and 906 related to certifications.
Appears in 12 contracts
Samples: Underwriting Agreement (Miller/Howard High Income Equity Fund), Underwriting Agreement (Calamos Dynamic Convertible & Income Fund), Underwriting Agreement (DoubleLine Income Solutions Fund)
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or, to the knowledge of the Fund or the Adviser, any of the Fund’s trustees or officers, in their capacities as such, to comply in any material respect with any applicable provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”), including Sections 302 and 906 related to certifications.
Appears in 9 contracts
Samples: Sales Agreement (Guggenheim Strategic Opportunities Fund), Sales Agreement (Guggenheim Credit Allocation Fund), Sales Agreement (Fiduciary/Claymore MLP Opportunity Fund)
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or any of the Fund’s trustees directors or officers, in their capacities as such, to comply in any material respect with any provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”)therewith, including Sections 302 and 906 related to certifications.
Appears in 3 contracts
Samples: Underwriting Agreement (Brookfield Mortgage Opportunity Income Fund Inc.), Underwriting Agreement (Western Asset Municipal Defined Opportunity Trust Inc.), Underwriting Agreement (Seligman Premium Technology Growth Fund, Inc.)
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or any of the Fund’s trustees or officers, in their capacities as such, to comply in any material respect with any applicable provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”)therewith, including Sections 302 and 906 related to certifications.
Appears in 3 contracts
Samples: Underwriting Agreement (Nuveen Preferred & Income 2022 Term Fund), Underwriting Agreement (Principal Real Estate Income Fund), Underwriting Agreement (Nuveen Mortgage Opportunity Term Fund)
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no material failure on the part of the Fund or any of the Fund’s trustees directors or officers, in their capacities as such, to comply in any material respect with any provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Xxxxxxxx-Xxxxx Act”), including Sections 302 and 906 related ) applicable to certificationsthem.
Appears in 2 contracts
Samples: Initial Offering Period Agreement (Western Asset Middle Market Income Fund Inc.), Western Asset (Western Asset Middle Market Debt Fund Inc.)
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or any of the Fund’s 's trustees or officers, in their capacities as such, to comply in any material respect with any provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”)therewith, including Sections 302 and 906 related to certifications.
Appears in 2 contracts
Samples: Underwriting Agreement (Alpine Total Dynamic Dividend Fund), Underwriting Agreement (Eaton Vance Tax-Managed Global Diversified Equity Income Fund)
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or any of the Fund’s trustees or officers, in their capacities as such, to comply in any all material respect respects with any provision the provisions of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”)therewith, including Sections 302 and 906 related to certifications.
Appears in 2 contracts
Samples: Underwriting Agreement (Eagle Growth & Income Opportunities Fund), Underwriting Agreement (THL Credit Senior Loan Fund)
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or any of the Fund’s trustees directors or officers, in their capacities as such, to comply in any all material respect respects with any provision the applicable provisions of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Xxxxxxxx-Xxxxx Act”), including Sections 302 and 906 related to certifications.
Appears in 1 contract
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or any of the Fund’s trustees directors or officers, in their capacities as such, to comply in any material respect with any applicable provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”), including Sections 302 and 906 related to certificationstherewith.
Appears in 1 contract
Samples: Underwriting Agreement (Tortoise Power & Energy Infrastructure Fund Inc)
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or any of the Fund’s trustees directors or officers, in their capacities as such, to comply in any material respect respects with any provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”)therewith, including Sections 302 and 906 related to certifications.
Appears in 1 contract
Samples: Sales Agreement (Rivernorth Opportunities Fund, Inc.)
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or, to the knowledge of the Fund or the Adviser, any of the Fund’s trustees or officers, in their capacities as such, to comply in any material respect with any 11 applicable provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”), including Sections 302 and 906 related to certifications.
Appears in 1 contract
Samples: Sales Agreement (Guggenheim Taxable Municipal Managed Duration Trust)
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or any of the Fund’s trustees or officers, in their capacities as such, to comply in any material respect with any provision of the Xxxxxxxx-Xxxxx Act of 2002 Act, including Sections 302 and 906 related to certifications, and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”), including Sections 302 and 906 related to certificationsin any material respect.
Appears in 1 contract
Samples: Underwriting Agreement (Center Coast MLP & Infrastructure Fund)
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or any of the Fund’s 's trustees or officers, in their capacities as such, to comply in any material respect with any provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”)therewith, including Sections 302 and 906 related to certifications, applicable to the Fund.
Appears in 1 contract
Samples: Underwriting Agreement (First Trust Dynamic Europe Equity Income Fund)
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or, to the knowledge of the Fund or the Adviser, any of the Fund’s 's trustees or officers, in their capacities as such, to comply in any material respect with any applicable provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “"Sarbanes Oxley Act”"), including Sections 302 and 906 related to certifications.
Appears in 1 contract
Samples: Controlled Equity Offeringsm (Guggenheim Strategic Opportunities Fund)
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or any of the Fund’s trustees directors or officers, in their capacities as such, to comply in any all material respect respects with any applicable provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”)therewith, including Sections 302 and 906 related to certifications.
Appears in 1 contract
Samples: RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or any of the Fund’s trustees or officers, in their capacities as such, to comply in any material respect with any applicable provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”), including Sections 302 and 906 related to certificationstherewith.
Appears in 1 contract
Samples: Underwriting Agreement (Nuveen Multi-Currency Short-Term Government Income Fund)
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or any of the Fund’s trustees or officers, in their capacities as such, to materially comply in any material respect with any provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”)therewith, including Sections 302 and 906 related to certifications.
Appears in 1 contract
Samples: Underwriting Agreement (AllianzGI Convertible & Income 2024 Target Term Fund)
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or any of the Fund’s trustees or officers, in their capacities as such, to comply in any all material respect respects with any provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”)therewith, including Sections 302 and 906 related to certifications.
Appears in 1 contract
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no failure on the part of the Fund or or, to the knowledge of the Fund, any of the Fund’s trustees or officers, in their capacities as such, to comply in any material respect with any applicable provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”), including Sections 302 and 906 related to certifications.
Appears in 1 contract
Samples: Sales Agreement (Fiduciary/Claymore MLP Opportunity Fund)
Compliance with the Xxxxxxxx-Xxxxx Act. There is and has been no material failure on the part of the Fund or any of the Fund’s trustees or officers, in their capacities as such, to comply in any material respect with any provision of the Xxxxxxxx-Xxxxx Act of 2002 and the rules and regulations promulgated in connection therewith (the “Sarbanes Oxley Act”)therewith, including Sections 302 and 906 related to certifications.
Appears in 1 contract
Samples: Underwriting Agreement (Dividend Capital Strategic Global Realty Fund)
