Common use of Agreement to Restrict Trading Clause in Contracts

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 415 contracts

Samples: Amendment to Selling Group Agreement (Deutsche DWS Investment Trust), Amendment to Selling Group Agreement (Deutsche DWS Municipal Trust), Amendment to Selling Group Agreement (Deutsche DWS Investment Trust)

AutoNDA by SimpleDocs

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares Fund shares by a Shareholder that has been identified by the Fund Agent as having engaged in transactions of the Fund’s Shares Funds’ shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution of the value of the outstanding Shares shares issued by the FundFunds.

Appears in 40 contracts

Samples: Sales Agreement (Virtus Alternative Solutions Trust), Sales Agreement (Virtus Asset Trust), Sales Agreement (Virtus Asset Trust)

Agreement to Restrict Trading. Intermediary agrees to shall execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that who has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares shares issued by the Fund.

Appears in 38 contracts

Samples: Distribution Agreement (Advisor Managed Portfolios), Distribution Agreement (Advisors Series Trust), Distribution Agreement (Advisor Managed Portfolios)

Agreement to Restrict Trading. The Intermediary agrees to execute written Written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s accountan Account) that violate the policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fundits Shares.

Appears in 32 contracts

Samples: Supplemental Agreement (Principal Life Insurance Co Variable Life Sep Account), Supplemental Agreement (Principal Life Insurance Co Separate Account B), Supplemental Agreement (Variable Account I of AGL of Delaware)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares Fund shares by a Shareholder that who has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 31 contracts

Samples: Distribution Agreement (JOHCM Funds Trust), Distribution Agreement (Total Fund Solution), Distribution Agreement (Total Fund Solution)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 27 contracts

Samples: Participation Agreement (Tiaa Separate Account Va-3), Fund Participation Agreement (First Investors Life Variable Annuity Fund C), Fund Participation Agreement (First Investors Life Level Premium Variable Lif Ins Sep Ac B)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund as having engaged in transactions of the Fund’s 's Shares (directly or indirectly through the Intermediary’s 's account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 22 contracts

Samples: Participation Agreement (Separate Account I of National Integrity Life Ins Co), Participation Agreement (Separate Account I of Integrity Life Insurance Co), Dealer Agreement (Americafirst Quantitative Funds)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund as having engaged in transactions of in the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 16 contracts

Samples: Participation Agreement (Dfa Investment Dimensions Group Inc), Participation Agreement (Dfa Investment Dimensions Group Inc), Participation Agreement (Dfa Investment Dimensions Group Inc)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund or Fund Agent to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 12 contracts

Samples: Agreement Relating to Transactions in Mutual Fund Shares (Columbia Funds Series Trust), Agreement Relating to Transactions in Mutual Fund Shares (Columbia Funds Series Trust II), Agreement Relating to Transactions in Mutual Fund Shares (Columbia Funds Series Trust II)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Agent as having engaged in transactions of the Fund’s in Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the a Company or Fund Agent for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the a Fund.

Appears in 10 contracts

Samples: Sales Agreement (Pimco Funds), Sales Agreement, Sales Agreement (PIMCO Flexible Municipal Income Fund)

Agreement to Restrict Trading. The Intermediary agrees to execute written instructions from the Fund Transfer Agent to restrict or prohibit further purchases or exchanges of Shares Fund shares by a Shareholder shareholder that has been identified by the Fund Transfer Agent as having engaged in transactions of the Fund’s Shares shares (directly or indirectly through the Intermediary’s an account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares shares issued by the Fund.

Appears in 8 contracts

Samples: Intermediary Agreement (Separate Account I of Integrity Life Insurance Co), Invesco Intermediary Agreement Regarding Compliance With Sec Rule 22c 2 (Separate Account I of National Integrity Life Ins Co), Intermediary Agreement (Separate Account Ii of Integrity Life Insurance Co)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund or its designee to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the an account with Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 8 contracts

Samples: Selling Agreement (Nexpoint Event-Driven Fund), Selling Agreement (Nexpoint Opportunistic Credit Fund), Selling Agreement (Nexpoint Opportunistic Credit Fund)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Trust or its designee to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Trust as having engaged in transactions of the FundTrust’s Shares (directly or indirectly through the an account with Intermediary’s account) that violate policies established or utilized by the Fund Trust for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundTrust.

Appears in 8 contracts

Samples: Selling and/or Services Agreement (Mercer Funds), Underwriting Agreement (Matthews International Funds), Underwriting Agreement (Matthews International Funds)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund a Request to restrict or prohibit further purchases or exchanges of Shares by a Shareholder Client that has been identified by the Fund as having engaged in transactions of the Fund’s in Shares (directly or indirectly through the Intermediary’s accountan Account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fundits Shares.

Appears in 7 contracts

Samples: Financial Intermediary Agreement (BARON INVESTMENT FUNDS TRUST (F/K/a BARON ASSET FUND)), Financial Intermediary Agreement (Aul American Unit Trust), Financial Intermediary Agreement (Aul American Unit Trust)

Agreement to Restrict Trading. The Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that who has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 6 contracts

Samples: Dealer Assistance Agreement (Marsico Investment Fund), Dealer Assistance Agreement (Marsico Investment Fund), Dealer Assistance Agreement (Marsico Investment Fund)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the a Fund or its designee to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the an account with Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 6 contracts

Samples: Selling and/or Services Agreement (Highland Global Allocation Fund), Selling and/or Services Agreement (Highland Global Allocation Fund Ii), Selling and/or Services Agreement (Highland Floating Rate Opportunities Fund Ii)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Funds to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Funds as having engaged in transactions of the Fund’s Funds’ Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund Funds for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFunds.

Appears in 6 contracts

Samples: Rule 22c 2 Agreement (ALAC Separate Account 1), Rule 22c 2 Agreement (Nuveen Multistate Trust I), Rule 22c 2 Agreement (Nuveen Investment Trust V)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares or take such other action as requested by the Fund for a Shareholder that has been identified by the Fund as having engaged in transactions of the Fund’s 's Shares (directly or indirectly through the Intermediary’s 's account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 5 contracts

Samples: Shareholder Information Agreement (American Fidelity Separate Account B), Shareholder Information Agreement (American Fidelity Separate Account C), Shareholder Information Agreement (Lincoln Life Variable Annuity Account N)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund as having engaged in transactions of in the Fund’s 's Shares (directly or indirectly through the Intermediary’s 's account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 5 contracts

Samples: Participation Agreement (COLI VUL-2 Series Account of Great-West Life & Annuity Insurance Co of New York), Participation Agreement (Horace Mann Life Insurance Co Separate Account), Participation Agreement (First Symetra National Life Insurance Co of Ny Sep Acct S)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Fund, or Fund’s designee, to restrict or prohibit further purchases or exchanges of Shares or take such other action as requested by the Fund, or Fund’s designee, for a Shareholder that has been identified by the Fund Fund, or Fund’s designee, as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 5 contracts

Samples: Shareholder Information Agreement (PLAIC Variable Annuity Account S), Rule 22c 2 Shareholder Information Agreement (PLICO Variable Annuity Account S), Shareholder Information Agreement (MEMBERS Horizon Variable Separate Account)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions instruction from the Fund or its designee to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund or its designee as having engaged in transactions of the Fund’s 's Shares (directly or indirectly through the Intermediary’s 's account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 5 contracts

Samples: Shareholder Information Agreement (Variflex Ls), Shareholder Information Agreement (Cuna Mutual Life Variable Annuity Account), Shareholder Information Agreement (Cuna Mutual Variable Life Insurance Account)

Agreement to Restrict Trading. A. Intermediary agrees to execute written instructions from the Fund or its designee, to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that who has been identified by the Fund as having engaged in transactions of the Fund’s Shares 's shares (directly or indirectly through the Intermediary’s 's account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 5 contracts

Samples: Shareholder Information Agreement (Variable Account B American Intl Life Assur Co of New York), Shareholder Information Agreement (Minnesota Life Variable Life Account), Shareholder Information Agreement (Agl Separate Account Vl-R)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund as having engaged in transactions of the Fund’s 's Shares (directly or indirectly through the Intermediary’s 's account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 4 contracts

Samples: Dealer Agreement (Loomis Sayles Funds Ii), Dealer Agreement (IXIS Advisor Funds Trust II), Dealer Agreement (Loomis Sayles Funds Ii)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Agent as having engaged in transactions of the Fund’s 's Shares (directly or indirectly through the Intermediary’s account's Account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund. Restriction of Trading requests must be directed to the Intermediary's representatives at a mutually agreed upon address.

Appears in 4 contracts

Samples: Rule 22c 2 Information Sharing and Restricted Trading Agreement (Agl Separate Account Vl-R), Rule 22c 2 Information Sharing and Restricted Trading Agreement (Variable Account Ii Aig Life Insurance Co), Rule 22c 2 Information Sharing and Restricted Trading Agreement (Usl Separate Account Usl Vl-R)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares or take such other action as requested by the Fund for a Shareholder that has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 4 contracts

Samples: Shareholder Information Agreement (National Variable Annuity Account Ii), Shareholder Information Agreement (National Variable Life Insurance Account), Shareholder Information Agreement (National Variable Life Insurance Account)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Xxxxx to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Xxxxx as having engaged in transactions of the Fund’s fund's Shares (directly or indirectly through the Intermediary’s 's account) that violate policies established or utilized by the Fund Xxxxx for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundXxxxx.

Appears in 3 contracts

Samples: Distribution Agreement (Principal Life Insurance Co Variable Life Sep Account), Distribution, Shareholder Servicing, Administrative Servicing and Fund/Serv Agreements (Principal Life Insurance Co Separate Account B), Distribution Agreement (RBC Variable Annuity Account A)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Xxxxx to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Xxxxx as having engaged in transactions of the Fundfund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund Xxxxx for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundXxxxx.

Appears in 3 contracts

Samples: Distribution, Shareholder Servicing, Administrative Servicing and Fund/Serv Agreements (Protective Variable Annuity Separate Account), Distribution, Shareholder Servicing, Administrative Servicing and Fund/Serv Agreements (Annuity Investors Variable Account C), Distribution Agreements (Principal Life Insurance Co Variable Life Sep Account)

Agreement to Restrict Trading. Financial Intermediary agrees to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund or Fund Agent as having engaged in transactions of the Fund’s 's Shares (directly or indirectly through the Financial Intermediary’s 's account) that violate violates policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 3 contracts

Samples: Rule 22c 2 Agreement (Allianz Life Variable Account B), Rule 22c 2 Information Sharing Agreement (United of Omaha Separate Account C), Rule 22c 2 Information Sharing Agreement (RBC Variable Annuity Account A)

Agreement to Restrict Trading. Financial Intermediary agrees to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund or Fund Agent as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Financial Intermediary’s account) that violate violates policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 3 contracts

Samples: Rule 22c 2 Information Sharing Agreement (Kilico Variable Annuity Separate Account), Rule 22c 2 Information Sharing Agreement (Titanium Universal Life Variable Account), Rule 22c 2 Information Sharing Agreement (ALAC Separate Account 1)

Agreement to Restrict Trading. The Intermediary agrees to execute written written, instructions from the Fund Funds to restrict or prohibit further purchases or Participant initiated exchanges of Shares by a Shareholder Participant that has been identified by the Fund Affiliate as having engaged in transactions of involving the Fund’s Shares Funds (directly or indirectly through the Intermediary’s account) that violate the trading policies established or utilized by the Fund Affiliate for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFunds.

Appears in 2 contracts

Samples: Supplemental Agreement (Prudential Discovery Premier Group Variable Contract Account), Supplemental Agreement (Prudential Discovery Select Group Variable Contract Acct)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund or its designee to restrict or prohibit further purchases or exchanges of Shares or take such other action as requested by the Fund or its designee for a Shareholder that has been identified by the Fund or its designee as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 2 contracts

Samples: Shareholder Information Agreement (Maxim Series Account of Great West Life & Annuity Ins Co), Shareholder Information Agreement (Maxim Series Fund Inc)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund or its designee to restrict or prohibit further purchases (not including system initiated purchases pursuant to allocation models or instructions) or exchanges of Shares by a Shareholder that has been identified by the Fund or its designee as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 2 contracts

Samples: Supplemental Agreement (Prudential Discovery Premier Group Variable Contract Account), Supplemental Agreement (Prudential Discovery Select Group Variable Contract Acct)

Agreement to Restrict Trading. The Intermediary agrees to execute written instructions from the Fund Portfolio to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Portfolio as having engaged in transactions of the FundPortfolio’s Shares (directly or indirectly through the Intermediary’s account(or indirect intermediary’s) Account) that violate policies established or utilized by the Fund Portfolio for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundPortfolio.

Appears in 2 contracts

Samples: Rule 22c 2 Agreement (Allianz Life of Ny Variable Account C), Rule 22c 2 Agreement (Allianz Life Variable Account B)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the a Fund or its designee to restrict or prohibit further purchases or exchanges of Shares by a Shareholder shareholder that has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the an account with Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 2 contracts

Samples: Underwriting Agreement (Stratton Funds, Inc.), Underwriting Agreement (Stratton Multi-Cap Fund, Inc.)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that who has been identified by the Fund as having engaged in transactions of in the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 2 contracts

Samples: Participation Agreement (Corporate Sponsored Vul Separate Account I), Participation Agreement (New York Life Ins & Annuity Corp Var Univ Life Sep Acc I)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the a Fund or Fund Agent to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 2 contracts

Samples: Rule 22c 2 Agreement (Lincoln New York Account N for Variable Annuities), Rule 22c 2 Agreement (Lincoln Life Variable Annuity Account N)

Agreement to Restrict Trading. A. Intermediary agrees to execute written instructions from the Fund or its designee, to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that who has been identified by the Fund as having engaged in transactions of the Fund’s Shares shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 2 contracts

Samples: Shareholder Information Agreement (Tiaa-Cref Life Separate Account Vli-1), Shareholder Information Agreement (Kilico Variable Annuity Separate Account)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund (which may include electronic writings and facsimile transmissions) to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund as having engaged in transactions of the Fund’s in Shares (directly or indirectly through the Intermediary’s accountan Account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fundits Shares.

Appears in 2 contracts

Samples: Information Sharing Agreement (PHL Variable Accumulation Account), Agreement Pursuant to Rule 22c 2 (Valley Forge Life Insurance Co Variable Annuity Separate Acc)

Agreement to Restrict Trading. Intermediary agrees to shall execute written instructions from the Fund Funds to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that who has been identified by the a Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares shares issued by the Fund.

Appears in 2 contracts

Samples: Distribution Agreement (MoA Funds Corp), Distribution Agreement (MoA Funds Corp)

Agreement to Restrict Trading. Intermediary agrees to use reasonable efforts to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Agent as having engaged in transactions of the Fund’s 's Shares (directly or indirectly through the Intermediary’s account's Account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund. Restriction of Trading requests must be directed to the Intermediary's representatives as identified in Appendix A to this Agreement.

Appears in 2 contracts

Samples: Rule 22c 2 Information Sharing and Restricted Trading Agreement (Variable Account I of Aig Life Ins Co), Rule 22c 2 Information Sharing and Restricted Trading Agreement (Variable Account a American Intl Life Assur Co of New York)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund or its designee to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund or its designee as having engaged in transactions of the Fund’s 's Shares (directly or indirectly through the Intermediary’s 's account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 2 contracts

Samples: Shareholder Information Agreement (Usl Separate Account Usl Vl-R), Shareholder Information Agreement (Agl Separate Account Vl-R)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further Shareholder-Initiated Transfer Purchases or Shareholder-Initiated Transfer Redemptions that are effected directly or indirectly through Intermediary purchases or exchanges of Shares by a Shareholder that has been identified by the Fund as having engaged in transactions of in the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 2 contracts

Samples: Participation Agreement (Variable Annuity Account a of Protective Life), Participation Agreement (Protective Variable Life Separate Account)

Agreement to Restrict Trading. The Intermediary agrees to execute written instructions from the Fund Funds to restrict or prohibit further purchases or exchanges of Shares trading by a any Shareholder that has been identified by the Fund Funds as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) Fund shares that violate policies established or utilized by the Fund Funds for the purpose of eliminating or reducing market timing or any other potential dilution of the value of the outstanding Shares shares issued by the Fund.

Appears in 2 contracts

Samples: Information Sharing and Trading Restriction Agreement (Massmutual Select Funds), Information Sharing and Trading Restriction Agreement (Massmutual Premier Funds)

AutoNDA by SimpleDocs

Agreement to Restrict Trading. The Intermediary agrees to take reasonable steps to execute written instructions from the Fund Funds to restrict or prohibit further purchases or Participant initiated exchanges of Shares by a Shareholder Participant that has been identified by the Fund Affiliate as having engaged in transactions of involving the Fund’s Shares Funds (directly or indirectly through the Intermediary’s account) that violate the trading policies established or utilized by the Fund Affiliate for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFunds.

Appears in 2 contracts

Samples: Supplemental Agreement (Prudential Discovery Premier Group Variable Contract Account), Supplemental Agreement (Prudential Discovery Select Group Variable Contract Acct)

Agreement to Restrict Trading. The Intermediary agrees to execute written instructions from the Fund Funds to restrict or prohibit further Participant initiated exchanges or purchases (not including system initiated purchases pursuant to allocation models or exchanges instructions) of Shares by a Shareholder Participant that has been identified by the Fund Affiliate as having engaged in transactions of involving the Fund’s Shares Funds (directly or indirectly through the Intermediary’s account) that violate the trading policies established or utilized by the Fund Affiliate for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFunds.

Appears in 2 contracts

Samples: Supplemental Agreement (Prudential Discovery Premier Group Variable Contract Account), Supplemental Agreement (Prudential Discovery Select Group Variable Contract Acct)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from Distributor or the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by Distributor or the Fund as having engaged in transactions of the Fund’s 's Shares (directly or indirectly through the an account with Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 2 contracts

Samples: Selling/Services Agreement (Aston Funds), Selling/Services Agreement (Abn Amro Funds)

Agreement to Restrict Trading. The Intermediary agrees to execute written instructions from the Fund Funds to restrict or prohibit further purchases or Participant initiated exchanges of Shares by a Shareholder Participant that has been identified by the Fund Affiliate as having engaged in transactions of involving the Fund’s Shares Funds (directly or indirectly through the Intermediary’s account) that violate the trading policies established or utilized by the Fund Affiliate for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFunds.

Appears in 2 contracts

Samples: Supplemental Agreement (Prudential Discovery Premier Group Variable Contract Account), Supplemental Agreement (Prudential Discovery Select Group Variable Contract Acct)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that who has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund, as set forth in SEC Rule 22c-2.

Appears in 1 contract

Samples: Mutual Fund Selling Group Agreement (Rs Investment Trust)

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund and/or its designee to restrict or prohibit further purchases or exchanges of Shares Covered Transactions involving Fund shares by a Shareholder that shareholder who has been identified by the Fund and/or its designee as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued by the FundFund shares.

Appears in 1 contract

Samples: Rule 22c 2 Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that who has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 1 contract

Samples: Administration Agreement (PNC Funds Inc)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares Fund shares by a Client-Shareholder that who has been identified by the Fund as having engaged in transactions of the Fund’s Shares shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares shares issued by the Fund.

Appears in 1 contract

Samples: Shareholder Information Rule 22c 2 Agreement (Stewart W P & Co Growth Fund Inc)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases (not including system inititated purchases pursuant to allocation models or instructions) or exchanges of Shares or take such other action as requested by the Fund for a Shareholder that has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 1 contract

Samples: Supplemental Agreement (Prudential Discovery Premier Group Variable Contract Account)

Agreement to Restrict Trading. The Intermediary agrees to execute written instructions from the Fund Administrator to restrict or prohibit further purchases or exchanges of Shares Covered Transactions involving Fund shares by a Shareholder that shareholder who has been identified by the Fund Administrator as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued by the FundFund shares.

Appears in 1 contract

Samples: Rule 22c 2 Agreement (SEPARATE ACCOUNT B OF VOYA INSURANCE & ANNUITY Co)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares Fund shares by a Shareholder that has been identified by the Fund Agent as having engaged in transactions of the Fund’s Shares Funds' shares (directly or indirectly through the Intermediary’s 's account) that violate policies established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution of the value of the outstanding Shares shares issued by the FundFunds.

Appears in 1 contract

Samples: Sales Agreement (Aul American Unit Trust)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Trust or its designated agent to restrict or prohibit further purchases or exchanges of Shares Fund shares by a Shareholder that has been identified by the Fund Trust as having engaged in transactions of the Fund’s Shares Fund shares (directly or indirectly through the Intermediary’s 's account) that violate policies established or utilized by the Fund Trust for the purpose purposes of eliminating or reducing any dilution of the value of the outstanding Shares shares issued by the Fund.

Appears in 1 contract

Samples: Selling Group Agreement (Aul American Unit Trust)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that who has been identified by the Fund as having engaged in transactions of the Fund’s 's Shares (directly or indirectly through the Intermediary’s 's account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 1 contract

Samples: Service Agreement (Aul American Unit Trust)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund or its designee to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund or its designee as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 1 contract

Samples: Shareholder Information Agreement (Tiaa-Cref Life Separate Account Vli-1)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Trust to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that who has been identified by the Fund Trust as having engaged in transactions of the Fund’s Trust's Shares (directly or indirectly through the Intermediary’s 's account) that violate policies established or utilized by the Fund Trust for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundTrust.

Appears in 1 contract

Samples: Service Agreement (Aul American Unit Trust)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares shares by a Shareholder that who has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares shares issued by the Fund.

Appears in 1 contract

Samples: Agency Agreement (GMO Series Trust)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Company or its designee to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Company as having engaged in transactions of the FundFund Company’s Shares (directly or indirectly through the an account with Intermediary’s account) that violate policies established or utilized by the Fund Company for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFund Company.

Appears in 1 contract

Samples: Selling and/or Services Agreement (New Alternatives Fund)

Agreement to Restrict Trading. Financial Intermediary agrees to execute written instructions from the Fund or its designee to restrict or prohibit further purchases or exchanges of Shares or take such other action as requested by the Fund or its designee for a Shareholder that has been identified by the Fund or its designee as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Financial Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 1 contract

Samples: Selling and Service Agreement (Maxim Series Fund Inc)

Agreement to Restrict Trading. The Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through an omnibus account of the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFund (“Fund Policies”).

Appears in 1 contract

Samples: Dealer Agreement (Lifetime Achievement Fund Inc)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Funds to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that who has been identified by the Fund Funds as having engaged in transactions of the a Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund Funds for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFunds.

Appears in 1 contract

Samples: Shareholder Information Agreement

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Trust or its designee to restrict or prohibit further purchases or exchanges of Shares by a Shareholder shareholder that has been identified by the Fund Trust as having engaged in transactions of the Fund’s Fund Shares (directly or indirectly through the an account with Intermediary’s account) that violate policies established or utilized by the Fund Trust for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFunds.

Appears in 1 contract

Samples: Selling and/or Services Agreement (FundVantage Trust)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund as having engaged in transactions of in the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate frequent trading policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 1 contract

Samples: Participation Agreement (TIAA-CREF Life Separate Account VLI-2)

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares involving Fund shares by a Shareholder that shareholder who has been identified by the Fund as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued Fund shares. Unless otherwise directed by the Fund, any such restrictions or prohibitions shall only apply to Shareholder-Initiated Transfer Purchases.

Appears in 1 contract

Samples: Rule 22c 2 Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Portfolios to restrict or prohibit further purchases or exchanges of Shares Shareholder-Initiated Transactions by a Shareholder that has been identified by the Fund Portfolios as having engaged in transactions of the FundPortfolio’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund Portfolios for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundPortfolio.

Appears in 1 contract

Samples: Shareholder Information Agreement (United Investors Annuity Variable Account)

Agreement to Restrict Trading. Financial Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares Fund shares by a Shareholder that who has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Financial Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 1 contract

Samples: Shareholder Servicing Plan and Agreement (Avenue Mutual Funds Trust)

Agreement to Restrict Trading. Financial Intermediary agrees to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund or Fund Agent as having engaged in transactions of the Fund’s ’ s Shares (directly or indirectly through the Financial Intermediary’s ’ s account) that violate violates policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 1 contract

Samples: Shareholder Information Agreement (Annuity Investors Variable Account B)

Agreement to Restrict Trading. The Intermediary agrees to take reasonable steps to execute written instructions from the Fund Funds to restrict or prohibit further Participant initiated exchanges or purchases or exchanges of Shares by a Shareholder Participant that has been identified by the Fund Affiliate as having engaged in transactions of involving the Fund’s Shares Funds (directly or indirectly through the Intermediary’s account) that violate the trading policies established or utilized by the Fund Affiliate for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFunds.

Appears in 1 contract

Samples: Supplemental Agreement (Prudential Discovery Premier Group Variable Contract Account)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the a Fund or its designee to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Company as having engaged in transactions of the Fund’s Shares (directly or indirectly through the an account with Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

Appears in 1 contract

Samples: Selling and/or Services Agreement (Highland Funds I)

Draft better contracts in just 5 minutes Get the weekly Law Insider newsletter packed with expert videos, webinars, ebooks, and more!