Affiliated Broker-Dealers. Broker or dealers selected by the Advisor for the purchase and sale of securities or other investment instruments for a Fund may include the Sub-Advisor or any other sub-advisor, or brokers or dealers affiliated with the Sub-Advisor or any other sub-advisor, provided such orders comply with Rules 17e-1 and 10f-3 under the 1940 Act and the Trust’s Rule 17e-1 and Rule 10f-3 Procedures, respectively, in all respects, or any other applicable exemptive rules or orders applicable to the Advisor.
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Samples: Investment Advisory Agreement (OWLshares Trust), Investment Advisory Agreement (Lattice Strategies Trust), Investment Advisory Agreement (Lattice Strategies Trust)
Affiliated Broker-Dealers. Broker or dealers selected by the Advisor for the purchase and sale of securities or other investment instruments for a Fund may include the Sub-Advisor or any other a sub-advisor, or brokers or dealers affiliated with the Sub-Advisor or any other a sub-advisor, provided such orders comply with Rules 17e-1 and 10f-3 under the 1940 Act and the Trust’s Rule 17e-1 and Rule 10f-3 Procedures, respectively, in all respects, or any other applicable exemptive rules or orders applicable to the Advisor.
Appears in 2 contracts
Samples: Investment Advisory Agreement (Procure ETF Trust II), Investment Advisory Agreement (Active Weighting Funds ETF Trust)
Affiliated Broker-Dealers. Broker or dealers selected by the Advisor Adviser for the purchase and sale of securities or other investment instruments for a Fund the Company may include the Sub-Advisor or any other sub-advisor, Adviser or brokers or dealers affiliated with the Sub-Advisor or any other sub-advisorAdviser, provided such orders comply with Rules 17e-1 and 10f-3 under the 1940 Act and the Trust’s Rule 17e-1 and Rule 10f-3 Procedures, respectively, in all respects, or any other applicable exemptive rules or orders applicable to the AdvisorAdviser.
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Affiliated Broker-Dealers. Broker or dealers selected by the Advisor for the purchase and sale of securities or other investment instruments for a Fund may include the Sub-Advisor or any other a sub-advisoradviser, or brokers or dealers affiliated with the Sub-Advisor or any other a sub-advisoradviser, provided such orders comply with Rules 17e-1 and 10f-3 under the 1940 Act and the Trust’s Rule 17e-1 and Rule 10f-3 Procedures, respectively, in all respects, or any other applicable exemptive rules or orders applicable to the Advisor.
Appears in 1 contract
Samples: Investment Advisory Agreement (Lattice Strategies Trust)
Affiliated Broker-Dealers. Broker or dealers selected by the Advisor for the purchase and sale of securities or other investment instruments for a Fund may include the Sub-Advisor or any other sub-advisor, or brokers or dealers affiliated with the Sub-Advisor or any other sub-advisor, provided such orders comply with Rules 17e-1 and 10f-3 l7f-3 under the 1940 Act and the Trust’s 's Rule 17e-1 and Rule 10f-3 l7f-3 Procedures, respectively, in all respects, or any other applicable exemptive rules or orders applicable to the Advisor.
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