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Title: |
Dealer Agreement |
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Date: |
2005 |
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Size: |
Preview shows 6KB of 26KB total |
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Price: |
$37 |
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ID: |
#1833720 |
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FUNDS DISTRIBUTOR, INC. Distributor
DEALER AGREEMENT
Re: The TD Waterhouse Family of Funds, Inc. (?Company?)
Ladies and Gentlemen:
As the distributor of the shares (?Shares?) of each investment company portfolio (?Fund?), of the investment company or companies covered hereunder (collectively, ?Company?) which may be amended by us from time to time, Funds Distributor, Inc. (?Distributor?) hereby invites you to participate in the selling group on the following terms and conditions. In this letter, the terms ?we,? ?us,? and similar words refer to the Distributor, and the terms ?you,??your,? and similar words refer to the dealer executing this agreement, including its associated persons.
| 1. | Dealer. You hereby represent that you are a broker-dealer properly registered and qualified under all applicable federal, state and local laws to engage in the business and transactions described in this agreement, and that you are a member in good standing of the National Association of Securities Dealers, Inc. (?NASD?) and the Securities Investor Protection Corporation (?SIPC?). You agree that it is your responsibility to determine the suitability of any Fund Shares as investments for your customers, and that we have no responsibility for such determination. You further agree to maintain all records required by Applicable Laws (as defined below) or that are otherwise reasonably requested by us relating to your transactions in Fund Shares. In addition, you agree to notify us immediately in the event your status as a member of the NASD or SIPC changes. |
| 2. | Qualification of Shares. We will make available to you a list of the states or other jurisdictions in which Fund Shares are registered for sale or are otherwise qualified for sale, which may be revised from time to time. You will make offers of Shares to your customers only in those states, and you will ensure that you (including your associated persons) are appropriately licensed and qualified to offer and sell Shares in any state or other jurisdiction that requires such licensing or qualification in connection with your activities. |
| 3. | Orders. All orders you submit for transactions in Fund Shares shall reflect orders received from your customers or shall be for your account for your own bona fide investment, and you will date and time-stamp your customer orders and forward them promptly each day and in any event prior to the time required by the applicable Fund prospectus (the ?Prospectus,? which for purposes of this agreement includes the Statement of Additional Information incorporated therein). As agent for your customers, you shall not withhold placing customers? orders for any Shares so as to profit yourself or your Customer as a result of such withholding. You are hereby authorized to: (i) place your orders directly with the relevant investment company (the ?Company?) for the purchase of Shares and (ii) tender Shares directly to the Company for redemption, in each case subject to the terms and conditions set forth in the Prospectus and any operating procedures and policies established by us from time to time. All purchase orders you submit are subject to acceptance or rejection, and we reserve the right to suspend or the limit the sale of Shares. You are not authorized to make any representations concerning Shares of any Fund except such representations as are contained in the Prospectus and in such supplemental written information that we may provide to you with respect to a Fund. All orders that are accepted for the purchase of Shares shall be executed at the next determined public offering price per share (i.e., the net asset value per share plus the applicable sales load, if any) |
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