Dealers Agreement between Active Assets Premier Money Trust and Morgan Stanley Dean Witter Advisors, Inc.
Understanding this form
The Dealers Agreement between Active Assets Premier Money Trust and Morgan Stanley Dean Witter Advisors, Inc. is a legal document that outlines the terms under which Morgan Stanley can sell shares of Active Assets Premier Money Trust. This agreement is crucial for establishing the responsibilities of both parties in regard to the distribution of the Fund's shares and ensuring compliance with securities regulations. It serves to clarify the relationship between the selected dealer and the fund, distinguishing it from other types of financial or distribution agreements.
Main sections of this form
- Definition of parties involved: Identifies Active Assets Premier Money Trust and Morgan Stanley Dean Witter Advisors, Inc.
- Sales terms: Describes how shares are sold and the dealer's obligations regarding orders.
- Compliance requirements: Outlines the necessity for adherence to federal and state securities laws.
- Compensation details: Explains how commissions and sales charges will be paid to the dealer.
- Order handling procedures: Establishes rules for placing orders for shares and related instructions.
- Termination clauses: Specifies how either party may cancel the agreement with notice.
When this form is needed
This agreement is typically used when a financial institution, such as Morgan Stanley, seeks to become a selected dealer authorized to sell shares of the Active Assets Premier Money Trust. It is essential in scenarios where the dealer requires legal documentation of their rights and responsibilities in the sale and distribution of these shares to comply with applicable securities regulations.
Who needs this form
- Financial institutions or dealers wanting to sell shares of Active Assets Premier Money Trust.
- Investment firms looking to establish a clear contractual relationship with the fund.
- Compliance officers needing to ensure that distribution practices align with regulatory standards.
How to complete this form
- Identify and confirm the parties involved in the agreement, specifically Active Assets Premier Money Trust and Morgan Stanley Dean Witter Advisors, Inc.
- Specify the conditions regarding the sale of shares, including pricing and order handling.
- Ensure compliance with all relevant securities laws as outlined in the agreement.
- Sign and date the agreement to indicate acceptance and authorization.
- Deliver a copy of the signed agreement to the other party for their records.
Does this document require notarization?
Notarization is not commonly needed for this form. However, certain documents or local rules may make it necessary. Our notarization service, powered by Notarize, allows you to finalize it securely online anytime, day or night.
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Make edits, fill in missing information, and update formatting in US Legal Forms—just like you would in MS Word.
Download a copy, print it, send it by email, or mail it via USPS—whatever works best for your next step.
Sign and collect signatures with our SignNow integration. Send to multiple recipients, set reminders, and more. Go Premium to unlock E-Sign.
If this form requires notarization, complete it online through a secure video call—no need to meet a notary in person or wait for an appointment.
We protect your documents and personal data by following strict security and privacy standards.
Common mistakes
- Failing to comply with specific federal or state securities laws during transactions.
- Not providing the required prospectus to purchasers before or at the time of sale.
- Withholding orders to manipulate pricing in favor of the dealer.
- Not securing the necessary signatures before finalizing the agreement.
Advantages of online completion
- Convenience of downloading and completing the form at your own pace.
- Editability allows for customization to suit specific needs or circumstances.
- Access to professionally drafted forms ensures reliability and legal compliance.
Legal use & context
- This agreement establishes a legal framework for the distribution of shares and is enforceable under applicable securities laws.
- Both parties must adhere to the terms outlined to avoid legal repercussions.
- Understanding the obligations detailed in this agreement can help in mitigating against potential disputes.
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FAQ
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