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 Advisor or brokers or dealers affiliated with the Advisor or the 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 (Absolute Shares Trust), Investment Advisory Agreement (Absolute Shares 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 Advisor or brokers or dealers affiliated with the Advisor or the Sub- 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 1 contract
Samples: Investment Advisory Agreement (Absolute Shares 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 may include the Advisor Adviser or brokers or dealers affiliated with the Advisor or the 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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