Licensing. a. Distributor and Dealer each represent and warrant to each other that: (i) it is a broker-dealer registered with the Securities and Exchange Commission (“SEC”); (ii) it is a member in good standing of the Financial Industry Regulatory Authority (“FINRA”); (iii) it is licensed by the appropriate regulatory agency of each state or other jurisdiction in which it will offer and sell Shares of the Fund; and (iv) each of its principals, directors, officers, employees, and agents who will participate or otherwise be involved in the offer or sale of the Shares or the performance of its duties and activities under this Agreement is either appropriately licensed or exempt from such licensing requirements by the appropriate regulatory agency of each state or other jurisdiction in which it will offer and sell Shares.
Appears in 17 contracts
Samples: Dealer Agreement (Blackstone Real Estate Income Fund II), Dealer Agreement (Blackstone Real Estate Income Fund), Dealer Agreement (Blackstone Real Estate Income Fund II)
Licensing. a. Distributor Dealer represents and Dealer each represent and warrant to each other warrants that: (i) it is a broker-dealer registered with the Securities and Exchange Commission (“"SEC”"); (ii) it is a member in good standing of the Financial Industry Regulatory Authority National Association of Securities Dealers, Inc. (“FINRA”"NASD"); (iii) it is licensed by the appropriate regulatory agency of each state or other jurisdiction in which it Dealer will offer and sell Shares of the FundFunds; and (iv) each of its principalspartners, directors, officers, employees, and agents who will participate or otherwise be involved in the offer or sale of the Shares or the performance by Dealer of its duties and activities under this Agreement is either appropriately licensed or exempt from such licensing requirements by the appropriate regulatory agency of each state or other jurisdiction in which it Dealer will offer and sell SharesShares of the Funds.
Appears in 10 contracts
Samples: Dealer Agreement (Van Kampen Trust), Dealer Agreement (Van Kampen Partners Trust), Dealer Agreement (Van Kampen Harbor Fund)
Licensing. a. Distributor (a) Dealer represents and Dealer each represent and warrant to each other warrants that: (i) it is a broker-dealer registered with the Securities and Exchange Commission (“SEC”); (ii) it is a member in good standing of the Financial Industry Regulatory Authority (“FINRA”); (iii) if applicable, it is licensed by the appropriate regulatory agency of each state or other jurisdiction in which it will offer and sell Shares of the FundShares; and (iv) if applicable, each of its principals, directors, officers, employees, and agents who will participate or otherwise be involved in the offer or sale of the Shares or the performance of its duties and activities under this Agreement is either appropriately licensed or exempt from such licensing requirements by the appropriate regulatory agency of each state or other jurisdiction in which it will offer and sell Shares.
Appears in 5 contracts
Samples: Selling and Shareholder Servicing Agreement (Fidelity Multi-Strategy Credit Fund), Form of Dealer Agreement (PGIM Private Real Estate Fund, Inc.), Selling Agreement (KKR Real Estate Select Trust Inc.)
Licensing. a. Distributor and Dealer each represent and warrant to each other that: (i) it is a broker-dealer registered with the Securities and Exchange Commission (“"SEC”"); (ii) it is a member in good standing of with the Financial Industry Regulatory Authority (“"FINRA”"); (iii) it is licensed by the appropriate regulatory agency of each state or other jurisdiction in which it will offer and sell Shares of the FundUnits; and (iv) each of its principals, directors, officers, employees, and agents who will participate or otherwise be involved in the offer or sale of the Shares Units or the performance of its duties and activities under this Agreement is either appropriately licensed or exempt from such licensing requirements by the appropriate regulatory agency of each state or other jurisdiction in which it will offer and sell SharesUnits.
Appears in 4 contracts
Samples: Dealer Agreement (BlackRock Preferred Partners LLC), Dealer Agreement (BlackRock Alternatives Allocation TEI Portfolio LLC), Form of Dealer Agreement (BlackRock Preferred Partners LLC)
Licensing. a. (a) Distributor and Dealer each represent and warrant to each other that: (i) it is a broker-dealer registered with the Securities and Exchange Commission (“SEC”); (ii) it is a member in good standing of the Financial Industry Regulatory Authority (“FINRA”); (iii) it is licensed by the appropriate regulatory agency of each state or other jurisdiction in which it will offer and sell Shares of the Fund; and (iv) each of its principals, directors, officers, employees, and agents who will participate or otherwise be involved in the offer or sale of the Shares or the performance of its duties and activities under this Agreement is either appropriately licensed or exempt from such licensing requirements by the appropriate regulatory agency of each state or other jurisdiction in which it will offer and sell Shares.
Appears in 4 contracts
Samples: First Amended and Restated Dealer Agreement (Blackstone Real Estate Income Fund II), First Amended and Restated Dealer Agreement (Blackstone Real Estate Income Fund), Dealer Agreement (Blackstone Real Estate Income Fund II)
Licensing. a. (a) Dealer and Distributor each represents and Dealer each represent and warrant to each other warrants that: (i) it is a broker-dealer registered with the Securities and Exchange Commission (“SEC”); (ii) it is a member in good standing of the Financial Industry Regulatory Authority (“FINRA”); (iii) if applicable, it is licensed by the appropriate regulatory agency of each state or other jurisdiction in which it will offer and sell Shares of the FundShares; and (iv) if applicable, each of its principals, directors, officers, employees, and agents who will participate or otherwise be involved in the offer or sale of the Shares or the performance of its duties and activities under this Agreement is either appropriately licensed or exempt from such licensing requirements by the appropriate regulatory agency of each state or other jurisdiction in which it will offer and sell Shares.
Appears in 2 contracts
Samples: Dealer Agreement (Blackstone / GSO Floating Rate Enhanced Income Fund), Dealer Agreement (Blackstone / GSO Floating Rate Enhanced Income Fund)
Licensing. a. Distributor and Dealer each represent and warrant to each other that: (i) it is a broker-dealer registered with the Securities and Exchange Commission (“SEC”); (ii) it is a member in good standing of the Financial Industry Regulatory Authority (“FINRA”); (iii) if applicable, it is licensed by the appropriate regulatory agency of each state or other jurisdiction in which it will offer and sell Shares of the Fund; and (iv) if applicable, each of its principals, directors, officers, employees, and agents who will participate or otherwise be involved in the offer or sale of the Shares or the performance of its duties and activities under this Agreement is either appropriately licensed or exempt from such licensing requirements by the appropriate regulatory agency of each state or other jurisdiction in which it will offer and sell Shares.
Appears in 2 contracts
Samples: Servicing Agreement (Blackstone Real Estate Income Fund), Servicing Agreement (Blackstone Real Estate Income Fund)
Licensing. a. Distributor Dealer represents and Dealer each represent and warrant to each other warrants that: (i) it is a broker-dealer registered with the Securities and Exchange Commission (“SEC”); (ii) it is a member in good standing of the Financial Industry Regulatory Authority (“FINRA”); (iii) it is licensed by the appropriate regulatory agency of each state or other jurisdiction in which it Dealer will offer and sell Shares of the Fund; and (iv) each of its principals, directors, officers, employees, and agents who will participate or otherwise be involved in the offer or sale of the Shares or the performance by Dealer of its duties and activities under this Agreement is either appropriately licensed or exempt from such licensing requirements by the appropriate regulatory agency of each state or other jurisdiction in which it Dealer will offer and sell Shares.
Appears in 2 contracts
Samples: Selected Dealer Agreement (AIP Macro Registered Fund P), Selected Dealer Agreement (Alternative Investment Partners Absolute Return Fund II P)
Licensing. a. Distributor Dealer represents and Dealer each represent and warrant to each other warrants that: (i) it is a broker-dealer registered with the Securities and Exchange Commission (“SEC”); (ii) it is a member in good standing of the Financial Industry Regulatory Authority National Association of Securities Dealers, Inc. (“FINRANASD”); (iii) it is licensed by the appropriate regulatory agency of each state or other jurisdiction in which it Dealer will offer and sell Shares of the FundFunds; and (iv) each of its principalspartners, directors, officers, employees, and agents who will participate or otherwise be involved in the offer or sale of the Shares or the performance by Dealer of its duties and activities under this Agreement is either appropriately licensed or exempt from such licensing requirements by the appropriate regulatory agency of each state or other jurisdiction in which it Dealer will offer and sell SharesShares of the Funds.
Appears in 2 contracts
Samples: Distribution Agreement (Wells Fargo Funds Trust), Distribution Agreement (Wells Fargo Variable Trust)
Licensing. a. Distributor (a) Selling Agent represents and Dealer each represent and warrant to each other warrants that: (i) it is a broker-dealer registered with the Securities and Exchange Commission (“SEC”); (ii) it is a member in good standing of the Financial Industry Regulatory Authority (“FINRA”); (iii) if applicable, it is licensed by the appropriate regulatory agency of each state or other jurisdiction in which it will offer and sell Shares of the FundShares; and (iv) if applicable, each of its principals, directors, officers, employees, and agents who will participate or otherwise be involved in the offer or sale of the Shares or the performance of its duties and activities under this Agreement is either appropriately licensed or exempt from such licensing requirements by the appropriate regulatory agency of each state or other jurisdiction in which it will offer and sell Shares.
Appears in 1 contract
Licensing. a. Distributor Dealer represents and Dealer each represent and warrant to each other warrants that: (i) it is a broker-dealer registered with the Securities and Exchange Commission (“SEC”); (ii) it is a member in good standing of the Financial Industry Regulatory Authority National Association of Securities Dealers, Inc. (“FINRANASD”); (iii) it is licensed by the appropriate regulatory agency of each state or other jurisdiction in which it Dealer will offer and sell Shares of the Fund; and (iv) each of its principals, directors, officers, employees, and agents who will participate or otherwise be involved in the offer or sale of the Shares or the performance by Dealer of its duties and activities under this Agreement is either appropriately licensed or exempt from such licensing requirements by the appropriate regulatory agency of each state or other jurisdiction in which it Dealer will offer and sell Shares.
Appears in 1 contract
Samples: Selected Dealer Agreement (Morgan Stanley Global Long/Short Fund P)
Licensing. a. Distributor Dealer represents and Dealer each represent and warrant to each other warrants that: (i) it is a broker-dealer registered with the Securities and Exchange Commission (“"SEC”"); (ii) it is a member in good standing of the Financial Industry Regulatory Authority (“"FINRA”"); (iii) it is licensed by the appropriate regulatory agency of each state or other jurisdiction in which it Dealer will offer and sell Shares of the FundEligible Funds; and (iv) each of its principalspartners, directors, officers, employees, and agents who will participate or otherwise be involved in the offer or sale of the Shares or the performance by Dealer of its duties and activities under this Agreement is either appropriately licensed or exempt from such licensing requirements by the appropriate regulatory agency of each state or other jurisdiction in which it Dealer will offer and sell SharesShares of the Eligible Funds.
Appears in 1 contract
Samples: Retail Funds Dealer Agreement (Morgan Stanley Series Funds)
Licensing. a. Distributor Dealer represents and Dealer each represent and warrant to each other warrants that: (i) it is a broker-dealer registered with the Securities and Exchange Commission (“"SEC”"); (ii) it is a member in good standing of the Financial Industry Regulatory Authority National Association of Securities Dealers (“FINRA”"NASD"); (iii) it is licensed by the appropriate regulatory agency of each state or other jurisdiction in which it Dealer will offer and sell Shares of the FundFunds; and (iv) each of its principalspartners, directors, officers, employees, and agents who will participate or otherwise be involved in the offer or sale of the Shares or the performance by Dealer of its duties and activities under this Agreement is either appropriately licensed or exempt from such licensing requirements by the appropriate regulatory agency of each state or other jurisdiction in which it Dealer will offer and sell SharesShares of the Funds.
Appears in 1 contract
Samples: Dealer Agreement (Morgan Stanley Aggressive Equity Fund)
