Rhode Island Dealers Agreement between Active Assets Premier Money Trust and Morgan Stanley Dean Witter Advisors, Inc.

• Category: Corporations - Public
• State: Multi-State
• Control #: US-EG-9320
• Format: Word; Rich Text

Description

Selected Dealers Agreement between Active Assets Premier Money Trust and Morgan Stanley Dean Witter Advisors, Inc. regarding the sale of shares dated January, 2000. 3 pages. Title: Overview of the Rhode Island Dealers Agreement between Active Assets Premier Money Trust and Morgan Stanley Dean Witter Advisors, Inc. Keywords: Rhode Island, Dealers Agreement, Active Assets Premier Money Trust, Morgan Stanley Dean Witter Advisors, Inc. Introduction: The Rhode Island Dealers Agreement is a legally binding document that governs the relationship between Active Assets Premier Money Trust (AA PMT) and Morgan Stanley Dean Witter Advisors, Inc. (MSW Advisors). This agreement outlines the terms and conditions under which MSW Advisors will act as a dealer for AA PMT in Rhode Island, providing a range of financial services and investment options. 1. Rhode Island Dealers Agreement: The Rhode Island Dealers Agreement is a comprehensive contractual agreement specifically tailored to cater to the mutual requirements of AA PMT and MSW Advisors within the state of Rhode Island. It establishes the framework of cooperation, responsibility, and accountability between the two entities while ensuring compliance with local regulations and laws. Key Provisions: a) Dealer Role and Responsibilities: The agreement defines the roles and responsibilities of MSW Advisors as an authorized dealer of AA PMT within Rhode Island. These include providing investment advice, executing trades, maintaining compliance, and protecting the interests of AA PMT within the agreed scope. b) Trading and Settlement Procedures: The agreement elucidates the trading and settlement procedures followed by MSW Advisors when executing transactions on behalf of AA PMT. It ensures transparency, efficiency, and adherence to industry best practices safeguarding the interests of both parties. c) Compensation and Fee Structure: The Dealers Agreement specifies the compensation structure for MSW Advisors, including any commissions, fees, or reimbursements to be paid by AA PMT for the services rendered. It also covers how the compensation will be calculated and the mode of payment. d) Confidentiality and Data Security: This section highlights the obligations of MSW Advisors to maintain the confidentiality and security of AA PMT's sensitive data, trade secrets, and client information, in adherence to state and federal laws and regulations. 2. Types of Rhode Island Dealers Agreements: While the core components of the Rhode Island Dealers Agreement remain constant, there may be variations depending on the specific nature of the collaboration between AA PMT and MSW Advisors. Some notable types of Rhode Island Dealers Agreements are: a) Revenue-Sharing Dealers Agreement: This type of agreement may address revenue sharing arrangements between AA PMT and MSW Advisors, enabling a partnership where profits are distributed between the two parties based on agreed-upon terms and conditions. b) Exclusive Dealers Agreement: In an exclusive agreement, MSW Advisors may become the sole dealer for AA PMT's products and services within Rhode Island, granting them exclusivity in distribution and marketing efforts. c) Limited Term Dealers Agreement: In certain cases, AA PMT may engage MSW Advisors for a specific period, outlined in a limited term agreement. This allows for collaboration on a short-term basis while ensuring flexibility for future reevaluation or renegotiation. Conclusion: The Rhode Island Dealers Agreement between Active Assets Premier Money Trust and Morgan Stanley Dean Witter Advisors, Inc. establishes a well-defined framework for their partnership. It ensures compliance, delineates roles and responsibilities, and protects the interests of both parties within the Rhode Island market. The agreement may take different forms to suit specific requirements, such as revenue-sharing agreements, exclusive dealer arrangements, or limited term agreements.

Title: Overview of the Rhode Island Dealers Agreement between Active Assets Premier Money Trust and Morgan Stanley Dean Witter Advisors, Inc. Keywords: Rhode Island, Dealers Agreement, Active Assets Premier Money Trust, Morgan Stanley Dean Witter Advisors, Inc. Introduction: The Rhode Island Dealers Agreement is a legally binding document that governs the relationship between Active Assets Premier Money Trust (AA PMT) and Morgan Stanley Dean Witter Advisors, Inc. (MSW Advisors). This agreement outlines the terms and conditions under which MSW Advisors will act as a dealer for AA PMT in Rhode Island, providing a range of financial services and investment options. 1. Rhode Island Dealers Agreement: The Rhode Island Dealers Agreement is a comprehensive contractual agreement specifically tailored to cater to the mutual requirements of AA PMT and MSW Advisors within the state of Rhode Island. It establishes the framework of cooperation, responsibility, and accountability between the two entities while ensuring compliance with local regulations and laws. Key Provisions: a) Dealer Role and Responsibilities: The agreement defines the roles and responsibilities of MSW Advisors as an authorized dealer of AA PMT within Rhode Island. These include providing investment advice, executing trades, maintaining compliance, and protecting the interests of AA PMT within the agreed scope. b) Trading and Settlement Procedures: The agreement elucidates the trading and settlement procedures followed by MSW Advisors when executing transactions on behalf of AA PMT. It ensures transparency, efficiency, and adherence to industry best practices safeguarding the interests of both parties. c) Compensation and Fee Structure: The Dealers Agreement specifies the compensation structure for MSW Advisors, including any commissions, fees, or reimbursements to be paid by AA PMT for the services rendered. It also covers how the compensation will be calculated and the mode of payment. d) Confidentiality and Data Security: This section highlights the obligations of MSW Advisors to maintain the confidentiality and security of AA PMT's sensitive data, trade secrets, and client information, in adherence to state and federal laws and regulations. 2. Types of Rhode Island Dealers Agreements: While the core components of the Rhode Island Dealers Agreement remain constant, there may be variations depending on the specific nature of the collaboration between AA PMT and MSW Advisors. Some notable types of Rhode Island Dealers Agreements are: a) Revenue-Sharing Dealers Agreement: This type of agreement may address revenue sharing arrangements between AA PMT and MSW Advisors, enabling a partnership where profits are distributed between the two parties based on agreed-upon terms and conditions. b) Exclusive Dealers Agreement: In an exclusive agreement, MSW Advisors may become the sole dealer for AA PMT's products and services within Rhode Island, granting them exclusivity in distribution and marketing efforts. c) Limited Term Dealers Agreement: In certain cases, AA PMT may engage MSW Advisors for a specific period, outlined in a limited term agreement. This allows for collaboration on a short-term basis while ensuring flexibility for future reevaluation or renegotiation. Conclusion: The Rhode Island Dealers Agreement between Active Assets Premier Money Trust and Morgan Stanley Dean Witter Advisors, Inc. establishes a well-defined framework for their partnership. It ensures compliance, delineates roles and responsibilities, and protects the interests of both parties within the Rhode Island market. The agreement may take different forms to suit specific requirements, such as revenue-sharing agreements, exclusive dealer arrangements, or limited term agreements.