Retail Funds Sample Clauses

Retail Funds. Equity Funds Balanced Fund Classic Value Fund Classic Value Fund II Core Equity Fund Financial Industries Fund Focused Equity Fund Greater China Opportunities Fund Growth Trends Fund Health Sciences Fund International Fund International Classic Value Fund Large Cap Equity Fund Large Cap Select Fund Mid Cap Equity Fund Multi Cap Growth Fund Real Estate Fund Regional Bank Fund Small Cap Fund Sovereign Investors Fund Technology Fund Technology Leaders Fund US Global Leaders Growth Fund Income Funds Bond Fund Government Income Fund High Income Fund High Yield Fund Investment Grade Bond Fund Strategic Income Fund Tax-Free Income Funds California Tax-Free Income Fund High Yield Municipal Bond Fund Massachusetts Tax-Free Income Fund Tax-Free Bond Fund Money Market Funds Money Market Fund U.S. Government Cash Reserve Fund
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Retail Funds. (a) To the extent a Fund intends to operate as a Retail Fund, you agree that, with respect to any Shares of the Retail Fund purchased, or held by or on behalf of your customers, you will (i) adopt and implement policies, procedures and internal controls reasonably designed to limit all beneficial owners of such Retail Fund Shares to natural persons (as such term is used or interpreted by the SEC or its staff), (ii) take commercially reasonable efforts to ensure that all current and future beneficial owners of such Retail Fund Shares are natural persons, and (iii) promptly redeem any such Retail Fund Shares of customers who do not qualify as natural persons.
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Retail Funds. The following series of The Hartford Mutual Funds, Inc. and The Hartford Mutual Funds II, Inc., as of October 21, 2016 are subject to this Agreement: Class A and C Shares Equity Funds The Hartford Balanced Fund The Hartford Balanced Income Fund The Hartford Capital Appreciation Fund Hartford Core Equity Fund The Hartford Dividend and Growth Fund Hartford Emerging Markets Equity Fund Hartford Environmental Opportunities Fund The Hartford Equity Income Fund The Hartford Global All-Asset Fund Hartford Global Capital Appreciation Fund Hartford Global Equity Income Fund The Hartford Growth Opportunities Fund The Hartford Healthcare Fund Hartford International Equity Fund The Hartford International Growth Fund The Hartford International Opportunities Fund The Hartford International Small Company Fund The Hartford International Value Fund Hartford Long/Short Global Equity Fund The Hartford MidCap Fund The Hartford MidCap Value Fund Hartford Small Cap Core Fund The Hartford Small Cap Growth Fund The Hartford Small Company Fund The Hartford Value Opportunities Fund Hartford Schroders Emerging Markets Equity Fund Hartford Schroders International Stock Fund Hartford Schroders International Multi-Cap Value Fund Hartford Schroders US Small Cap Opportunities Fund Hartford Schroders US Small/Mid Cap Opportunities Fund
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Retail Funds. The following funds offered by Distributor will continue to be managed to qualify as government money market funds under the Rule: U.S. Government Money Market Fund and Capital Preservation Fund. On or before October 14, 2016, the following funds offered by Distributor will be managed to qualify as Retail Funds under the Rule: Prime Money Market Fund, Tax-Free Money Market Fund, and California Tax-Free Money Market Fund. Additionally, any fund thereafter designated in such fund's then-current prospectus as a retail money market fund is hereby included as a Retail Fund.
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Related to Retail Funds

  • All Funds No dealer concessions are paid on any other sales of shares at net asset value, except that concessions may be paid to dealers on their sales of fund shares to accounts managed by affiliates of The Capital Group Companies, Inc. as set forth in this Agreement. Sales of shares of Washington Mutual Investors Fund below $1 million made in connection with certain accounts established before September 1, 1969, are subject to reduced concessions and sales charges as described in the Washington Mutual Investors Fund Prospectus. With respect to sales of shares of any tax-exempt fund, the concession schedule for sales of shares to retirement plans is inapplicable. The schedules of sales charges above apply to single purchases, concurrent purchases of two or more of the Funds (except those listed in Category 4 on the attached Schedule A), and purchases made under a statement of intention and pursuant to the right of accumulation, both of which are described in the Prospectuses.

  • Income Funds T. Rowe Price Multi-Sector Account Portfolios, Inc. on behalf of:

  • Category 4 Funds On sales of Class A shares and Class 529-A shares of the Funds listed in Category 4 on the attached Schedule A, no dealer concessions will be paid.

  • Fixed Income Funds This document is an attachment to the Participant Agreement with respect to the procedures to be used by (i) the Distributor and the Transfer Agent in processing an order for the creation of Shares, (ii) the Distributor and the Transfer Agent in processing a request for the redemption of Shares and (iii) the Participant and the Transfer Agent in delivering or arranging for the delivery of requisite cash payments, Portfolio Deposits or Shares, as the case may be, in connection with the submission of orders for creation or requests for redemption. The Participant is first required to have signed the Participant Agreement. Upon acceptance of the Participant Agreement by the Distributor and the Transfer Agent, the Transfer Agent will assign a PIN Number to each Authorized Person authorized to act for the Participant. This will allow the Participant through its Authorized Person(s) to place an order with respect to Shares.

  • Category 2 Funds On each purchase order for Class A shares and Class 529-A shares of Funds listed in Category 2 on the attached Schedule A that is accepted by us and for which you are responsible, you will be paid the same compensation indicated above except as follows: Compensation as Sales Charge Percentage of as Percentage Purchases Offering Price of Offering Price Less than $100,000 3.00% 3.75%

  • Category 5 Funds On sales of Class 529-A shares of Funds listed in Category 5 on the attached Schedule A that are accepted by us and for which you are responsible, you will be paid compensation as follows: Compensation as Sales Charge Percentage of as Percentage Purchases Offering Price of Offering Price Less than $100,000 3.50% 4.25% $100,000 but less than $250,000 2.75% 3.50% $250,000 but less than $500,000 2.00% 2.50% $500,000 but less than $750,000 1.60% 2.00% $750,000 but less than $1 million 1.20% 1.50% $1 million or more See below None

  • Investment Funds Unregistered general or limited partnerships or pooled investment vehicles and/or registered investment companies in which the Company (directly, or indirectly through the Master Fund) invests its assets that are advised by an Investment Manager.

  • Equity Funds X. Xxxx Price International Funds, Inc. on behalf of: X. Xxxx Price Global Industrials Fund Income Funds

  • Partnership Funds Pending application or distribution, the funds of the Partnership shall be deposited in such bank account or accounts, or invested in such interest-bearing or non-interest bearing investment, including, without limitation, checking and savings accounts, certificates of deposit and time or demand deposits in commercial banks, U.S. government securities and securities guaranteed by U.S. government agencies as shall be designed by the General Partner. Such funds shall not be commingled with funds of any other Person. Withdrawals therefrom shall be made upon such signatures as the General Partner may designate.

  • Multi-Manager Funds In connection with securities transactions for the Fund, the Subadviser that is (or whose affiliated person is) entering into the transaction, and any other investment manager that is advising an affiliate of the Fund (or portion of the Fund) (collectively, the “Managers” for the purposes of this section) entering into the transaction are prohibited from consulting with each other concerning transactions for the Fund in securities or other assets and, if both Managers are responsible for providing investment advice to the Fund, the Manager’s responsibility in providing advice is expressly limited to a discrete portion of the Fund’s portfolio that it manages. This prohibition does not apply to communications by the Adviser in connection with the Adviser’s (i) overall supervisory responsibility for the general management and investment of the Fund’s assets; (ii) determination of the allocation of assets among the Manager(s), if any; and (iii) investment discretion with respect to the investment of Fund assets not otherwise assigned to a Manager.

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