Agreement to Provide Information. Broker/Dealer agrees to provide the Fund, upon written request, the taxpayer identification number (“TIN”), the Individual/International Taxpayer Identification Number (“ITIN”), or other government-issued identifier (“GII”), if known, of any or all Shareholder(s) of the account and the amount, date, name or other identifier of any investment professional(s) associated with the Shareholder(s) or account (if known), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of Shares held through an account maintained by the Broker/Dealer during the period covered by the request.
Appears in 16 contracts
Samples: Broker Dealer Selling Agreement (Clough Funds Trust), Broker Dealer Selling Agreement (ALPS Series Trust), Broker Dealer Selling Agreement (ALPS Series Trust)
Agreement to Provide Information. Broker/Dealer agrees to provide the FundFund or its designee, upon written request, the taxpayer identification number (“TIN”), the Individual/International Taxpayer Identification Number (“ITIN”), or other government-issued identifier (“GII”), if known, of any or all Shareholder(s) of the account and the amount, date, name or other identifier of any investment professional(s) associated with the Shareholder(s) or account (if known), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of Shares held through an account maintained by the Broker/Dealer during the period covered by the request.
Appears in 15 contracts
Samples: Broker Dealer Selling Agreement (Ares Private Markets Fund), Broker Dealer Selling Agreement (Resource Real Estate Diversified Income Fund), Broker Dealer Selling Agreement (1WS Credit Income Fund)
Agreement to Provide Information. Broker/Dealer agrees to provide the FundFund or its designee, upon written request, the taxpayer identification number (“TIN”), the Individual/International Taxpayer Identification Number (“ITIN”), or other government-issued identifier (“GII”), if known, of any or all Shareholder(s) of the account and the amount, date, name or other identifier of any investment professional(s) associated with the Shareholder(s) or account (if known), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of Shares held through an account maintained by the Broker/Dealer during the period covered by the request.
Appears in 14 contracts
Samples: Broker Dealer Selling Agreement (Heartland Group Inc), Broker Dealer Selling Agreement, Broker Dealer Selling Agreement (Harvest Volatility Edge Trust)
Agreement to Provide Information. Broker/-Dealer agrees to provide the FundFund or its designee, upon written request, the taxpayer identification number (“TIN”), the Individual/International Taxpayer Identification Number (“ITIN”), or other government-issued identifier (“GII”), if known, of any or all Shareholder(s) of the account and the amount, date, name or other identifier of any investment professional(s) associated with the Shareholder(s) or account (if known), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of Shares held through an account maintained by the Broker/-Dealer during the period covered by the request.
Appears in 13 contracts
Samples: Broker Dealer Selling Agreement (CION Grosvenor Infrastructure Fund), Broker Dealer Selling Agreement (List Income Opportunities Fund), Broker Dealer Selling Agreement (Apollo Diversified Real Estate Fund)
Agreement to Provide Information. Broker/Dealer agrees to provide the FundFund or its designee, upon written request, the taxpayer identification number (“TIN”), the Individual/International Taxpayer Identification Number (“ITIN”), or other government-issued identifier (“GII”), if known, of any or all Shareholder(s) of the account and the amount, date, name or other identifier of any investment professional(s) associated with the Shareholder(s) or account (if known), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of Shares shares held through an account maintained by the Broker/Dealer during the period covered by the request.
Appears in 8 contracts
Samples: Broker Dealer Selling Agreement (FS Multi-Alternative Income Fund), Broker Dealer Selling Agreement (FS Series Trust), Broker Dealer Selling Agreement (FS Multi-Alternative Income Fund)
Agreement to Provide Information. Broker/Dealer agrees to provide the FundADI or its designee, upon written request, the taxpayer identification number (“TIN”), the Individual/International Taxpayer Identification Number (“ITIN”), or other government-issued identifier (“GII”), if known, of any or all Shareholder(s) of the account and the amount, date, name or other identifier of any investment professional(s) associated with the Shareholder(s) or account (if known), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of Shares held through an account maintained by the Broker/Dealer during the period covered by the request.
Appears in 2 contracts
Samples: Broker Dealer Selling Agreement (Wilmington Funds), Broker Dealer Selling Agreement (Wilmington Funds)
Agreement to Provide Information. Broker/-Dealer agrees to provide the FundFund or its designee, upon written request, the taxpayer identification number (“TIN”), the Individual/International Taxpayer Identification Number (“ITIN”), or other government-issued identifier (“GII”), if known, of any or all Shareholder(s) of the account and the amount, date, name or other identifier of any investment professional(s) associated with the Shareholder(s) or account (if known), and transaction type (purchase, redemptionrepurchase, transfer, or exchange) of every purchase, redemptionrepurchase, transfer, or exchange of Shares held through an account maintained by the Broker/-Dealer during the period covered by the request.
Appears in 1 contract
Samples: Broker Dealer Selling Agreement (Opportunistic Credit Interval Fund)
Agreement to Provide Information. Broker/-Dealer agrees to provide the FundCompany or its designee, upon written request, the taxpayer identification number (“TIN”), the Individual/International Taxpayer Identification Number (“ITIN”), or other government-issued identifier (“GII”), if known, of any or all Shareholder(s) of the account and the amount, date, name or other identifier of any investment professional(s) associated with the Shareholder(s) or account (if known), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of Shares held through an account maintained by the Broker/-Dealer during the period covered by the request.
Appears in 1 contract
Samples: Broker Dealer Selling Agreement (CIM Real Assets & Credit Fund)
Agreement to Provide Information. Broker/Dealer agrees to provide the Fund, upon written request, the taxpayer identification number (“"TIN”"), the Individual/International Taxpayer Identification Number (“"ITIN”"), or other government-issued identifier (“"GII”"), ; if known, of any or all Shareholder(s) of the account and the amount, date, name or other identifier of any investment professional(s) associated with the Shareholder(s) or account (if known), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of Shares held through an account maintained by the Broker/Dealer during the period covered by the request.
Appears in 1 contract
Samples: Selling and Shareholder Support Services Agreement (Aul American Unit Trust)