Blue Sky Reports Sample Clauses

Blue Sky Reports. At the request of NBMI, and if required by law or by a governmental agency, the Sub- Administrator shall on a daily basis, prepare a report to each Fund in accordance with a system approved by the Fund, showing by state of residence all sales and redemptions of Shares. SCHEDULE B FEE SCHEDULE
Sample 1
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Blue Sky Reports. 6. If in the reasonable judgment of the Funds such information is required by applicable state securities laws or the interpretation thereof by applicable regulatory authorities, Preferred shall periodically prepare a report to the Funds and PIMS, in accordance with a system approved by the Funds and PIMS, showing by state all sales and redemption of Fund shares.
Sample 1
Blue Sky Reports. If, in the reasonable judgment of the Fund or its designee, blue sky information is required by applicable state securities laws or the interpretation thereof by applicable regulatory authorities, SISC shall periodically prepare a report to the Fund or its designee, in accordance with a system approved by the Fund or its designee, showing by state all sales and redemptions of Fund shares by Plans.
Sample 1
Blue Sky Reports. If in the reasonable judgment of the Funds such information is required by applicable state securities laws or the interpretation thereof by applicable regulatory authorities, GIAC shall periodically prepare a report to the Funds and PIMS, in accordance with a system approved by the Funds and PIMS, showing by state all sales and redemption of Fund shares.
Sample 1
Blue Sky Reports. The Sub-Administrator will provide to each Fund, or to its designated agent, a report within 15 days after the end of each calendar quarter in accordance with a system approved by the Funds, showing by state of residence, all sales and redemptions of Shares by Participants. The Company and the Funds shall remain fully responsible for ensuring that the Funds' Shares are registered in all jurisdictions as required by applicable state -A4- securities laws or the interpretation thereof by applicable regulatory authorities. Dated as of: July 1, 1996 BANKERS TRUST COMPANY By: /s/ Xxxxxxx Xxxxxxxxx -------------------------------- Name: Xxxxxxx Xxxxxxxxx Title: Vice President DIMENSIONAL INVESTMENT GROUP INC., ON BEHALF OF ITS PORTFOLIOS, THE U.S. SMALL CAP VALUE PORTFOLIO II, THE U.S. LARGE CAP VALUE PORTFOLIO II AND THE DFA INTERNATIONAL VALUE PORTFOLIO II By: /s/ Xxxxx X. Xxxxxxx -------------------------------- Name: Xxxxx X. Xxxxxxx Title: Vice President -A5- SCHEDULE B FEE SCHEDULE The Funds, as defined in the Administrative Service Agreement to which this Schedule B is attached, shall pay a fee with respect to the Sub-Administrator for each Fund, calculated daily and paid monthly in arrears equal to 0.10 % per annum of the daily net asset value of the total number of Shares of such Fund held in the Accounts. The calculation of the fee shall be based upon each Fund's records held by each Fund's transfer agent. Dated as of: July 1, 1996 BANKERS TRUST COMPANY By: /s/ Xxxxxxx Xxxxxxxxx -------------------------------- Name: Xxxxxxx Xxxxxxxxx Title: Vice President DIMENSIONAL INVESTMENT GROUP INC., ON BEHALF OF ITS PORTFOLIOS, THE U.S. SMALL CAP VALUE PORTFOLIO II, U.S. LARGE CAP VALUE PORTFOLIO II AND DFA INTERNATIONAL VALUE PORTFOLIO II By: /s/ Xxxxx X. Xxxxxxx -------------------------------- Name: Xxxxx Xxxxxxx Title: Vice President
Sample 1
Blue Sky Reports. If in the reasonable judgment of any Fund and as notified by the Company blue sky information is required by applicable state securities laws or the interpretation thereof by applicable regulatory authorities, the Sub-Administrator shall periodically prepare a report to each Fund in accordance with a system approved by the Fund, showing by state of residence all sales and redemptions of Shares by Participants. SCHEDULE B FEE SCHEDULE The Company shall pay a fee with respect to each Fund, calculated daily and paid quarterly in arrears (upon the receipt and approval by the Company of an invoice generated by the Sub-Administrator pursuant to Section 2.1 of the Agreement) equal to 0.35% per annum of the daily net asset value of the total number of Shares of such Fund held in the Accounts. After the Company’s review of the Sub-Administrator’s invoice, to the extent of any discrepancies between the records of the Sub-Administrator and the Fund’s records, the fee shall be based upon the Fund’s records held by the Fund’s transfer agent. The Sub-Administrator shall be solely responsible for performing all work (including the calculation of any fees) necessary to prepare the invoice delivered to the Company hereunder. The fee shall be paid quarterly. The Company shall not pay more than the above stated fees for each Plan for which sub-administrator services are provided hereunder, irrespective of whether the Servicing Agent contracts with third parties with respect to the services provided hereunder. In addition, the Sub-Administrator acknowledges and agrees that to the extent the Company has paid or has been invoiced to pay any fees to a collecting entity (such as a recordkeeper) with respect to a particular Plan, the Company shall not be required to pay any amounts to the Sub-Administrator hereunder with respect thereto. Sub-Administrator and the Company agree that the above percentages shall be lowered in an amount equal to one half of any reduction from the present levels of the Company’s “Management fee” (as disclosed in the Funds’ prospectus) received with respect to the Funds.* The Company shall provide reasonable notice to Sub-Administrator of any such reduction. To the extent the fees are reduced pursuant to the preceding, the revised fee rate contained in the notice shall apply to all assets serviced by Sub-Administrator pursuant to this Agreement upon the receipt by Sub-Administrator of notice of such a change. With respect to all fulfillment materials (o...
Sample 1
Blue Sky Reports. If, in the reasonable judgment of the Fund, blue sky information is required by applicable state securities laws or by applicable regulatory authorities, the Sub-Administrator shall use its best efforts to comply with such requests for information. The Fund shall remain fully responsible for ensuring that Fund Shares are registered in all jurisdictions as required by applicable state securities laws or the interpretation thereof by applicable regulatory authorities. SCHEDULE B ADMINISTRATIVE SERVICES FEE SCHEDULE The Company shall pay a fee to the Sub-Administrator for administrative services with respect to each Fund, calculated daily and paid monthly in arrears equal to [ ] per annum of the daily net asset value of the total number of Shares of such Fund held in the Accounts. The calculation of the fee shall be based upon the Fund's records held by the Fund's transfer agent. Dated as of: August 1, 2005 SCHEDULE C DISTRIBUTION SERVICE DUTIES OF THE SUB-ADMINISTRATOR Distribution Services include, but are not limited to:
Sample 1
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Blue Sky Reports. The Portfolios are obligated to provide information to the relevant state securities administrators regarding sales of Class R1 Shares and Class R2 Shares in all applicable states. In order to accurately register the Portfolios’ shares for sale in all necessary jurisdictions, the Shareholder Services Agent represents, warrants and covenants that the relevant Plans investing in the Portfolios are qualified retirement plans organized under Section 401 (a) or 401 (k) of the Internal Revenue Code or employer sponsored non-qualified deferred compensation plans resident in the states reflected on the monthly report as the state of the underlying agent, and (please check one that applies):
Sample 1

Related to Blue Sky Reports

  • Blue Sky Filings The Company will endeavor in good faith, in cooperation with the Representative, at or prior to the time the Registration Statement becomes effective, to qualify the Public Securities for offering and sale under the securities laws of such jurisdictions as the Representative may reasonably designate, provided that no such qualification shall be required in any jurisdiction where, as a result thereof, the Company would be subject to service of general process or to taxation as a foreign corporation doing business in such jurisdiction. In each jurisdiction where such qualification shall be effected, the Company will, unless the Representative agrees that such action is not at the time necessary or advisable, use all reasonable efforts to file and make such statements or reports at such times as are or may be required by the laws of such jurisdiction.

  • Form D; Blue Sky Filings The Company agrees to timely file a Form D with respect to the Securities as required under Regulation D and to provide a copy thereof, promptly upon request of any Purchaser. The Company shall take such action as the Company shall reasonably determine is necessary in order to obtain an exemption for, or to qualify the Securities for, sale to the Purchasers at the Closing under applicable securities or “Blue Sky” laws of the states of the United States, and shall provide evidence of such actions promptly upon request of any Purchaser.

  • Blue Sky Filing Unless the Public Securities are listed on the Nasdaq Capital Market or another national securities exchange, the Company, at its expense, will endeavor in good faith, in cooperation with the Representative, at or prior to the time the Registration Statement becomes effective, to qualify the Public Securities for offering and sale under the securities laws of such jurisdictions as the Representative may reasonably designate, provided that no such qualification shall be required in any jurisdiction where, as a result thereof, the Company would be subject to service of general process or to taxation as a foreign corporation doing business in such jurisdiction. In each jurisdiction where such qualification shall be effected, the Company will, unless the Representative agrees that such action is not at the time necessary or advisable, use all reasonable efforts to file and make such statements or reports at such times as are or may be required by the laws of such jurisdiction.

  • Blue Sky Matters Upon application to us, we shall inform you as to any advice we have received from counsel concerning the jurisdictions in which Securities have been qualified for sale or are exempt under the securities or “Blue Sky” laws of such jurisdictions, but we do not assume any obligation or responsibility as to your right to sell Securities in any such jurisdiction, notwithstanding any information we may furnish to you in that connection.

  • Form D; Blue Sky Laws The Company agrees to file a Form D with respect to the Securities as required under Regulation D and to provide a copy thereof to the Buyer promptly after such filing. The Company shall, on or before the Closing Date, take such action as the Company shall reasonably determine is necessary to qualify the Securities for sale to the Buyer at the applicable closing pursuant to this Agreement under applicable securities or “blue sky” laws of the states of the United States (or to obtain an exemption from such qualification), and shall provide evidence of any such action so taken to the Buyer on or prior to the Closing Date.

  • Blue Sky Compliance The Company will qualify the Shares for offer and sale under the securities or Blue Sky laws of such jurisdictions as the Representatives shall reasonably request and will continue such qualifications in effect so long as required for distribution of the Shares; provided that the Company shall not be required to (i) qualify as a foreign corporation or other entity or as a dealer in securities in any such jurisdiction where it would not otherwise be required to so qualify, (ii) file any general consent to service of process in any such jurisdiction or (iii) subject itself to taxation in any such jurisdiction if it is not otherwise so subject.

  • No Blue Sky Stop Orders No order suspending the sale of the Units in any jurisdiction designated by the Representative pursuant to Section 3.3 hereof, if any, shall have been issued on either the Closing Date or the Option Closing Date, and no proceedings for that purpose shall have been instituted or shall be contemplated.

  • Blue Sky Services The Administrator shall maintain under this Agreement the registration or qualification of a Series and its shares under state Blue Sky or securities laws and regulations, as necessary; provided that such Series shall pay all related filing fees and registration or qualification fees.

  • Form D; Blue Sky The Company agrees to timely file a Form D with respect to the Securities as required under Regulation D and to provide a copy thereof, promptly upon the written request of any Purchaser. The Company, on or before the Closing Date, shall take such action as the Company shall reasonably determine is necessary in order to obtain an exemption for or to qualify the Securities for sale to the Purchasers under applicable securities or “Blue Sky” laws of the states of the United States (or to obtain an exemption from such qualification) and shall provide evidence of such actions promptly upon the written request of any Purchaser.

  • Blue Sky Qualifications The Company will use its best efforts, in cooperation with the Underwriters, to qualify the Securities for offering and sale under the applicable securities laws of such states and other jurisdictions (domestic or foreign) as the Representatives may designate and to maintain such qualifications in effect so long as required to complete the distribution of the Securities; provided, however, that the Company shall not be obligated to file any general consent to service of process or to qualify as a foreign corporation or as a dealer in securities in any jurisdiction in which it is not so qualified or to subject itself to taxation in respect of doing business in any jurisdiction in which it is not otherwise so subject.

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