Disposition of Cancelled Certificates; Record Retention. The Auction Agent shall retain all stock or share certificates which have been cancelled in transfer or exchange and all accompanying documentation in accordance with applicable rules and regulations of the Securities and Exchange Commission for two calendar years. The Trust shall also undertake to furnish to the Securities and Exchange Commission and to the Board of Governors of the Federal Reserve System, upon demand, at either the principal office or at any regional office, complete, correct and current hard copies of any and all such records.
Appears in 34 contracts
Samples: Auction Agency Agreement (Blackrock Global Floating Rate Income Trust), Auction Agency Agreement (Ing Clarion Real Estate Income Fund), Auction Agency Agreement (Ing Clarion Global Real Estate Income Fund)
Disposition of Cancelled Certificates; Record Retention. The Auction Agent shall retain all stock or share certificates which have been cancelled in transfer or exchange and all accompanying documentation in accordance with applicable rules and regulations of the Securities and Exchange Commission for two calendar years. The Trust Corporation shall also undertake to furnish to the Securities and Exchange Commission and to the Board of Governors of the Federal Reserve System, upon demand, at either the principal office or at any regional office, complete, correct and current hard copies of any and all such records.
Appears in 4 contracts
Samples: Auction Agency Agreement (Gabelli Global Multimedia Trust Inc), Auction Agency Agreement (Gabelli Equity Trust Inc), Auction Agency Agreement (Gabelli Equity Trust Inc)
Disposition of Cancelled Certificates; Record Retention. The Auction Agent shall retain all stock or share certificates which have been cancelled in transfer or exchange and all accompanying documentation in accordance with applicable rules and regulations of the Securities and Exchange Commission for two calendar years. The Trust Fund shall also undertake to furnish to the Securities and Exchange Commission and to the Board of Governors of the Federal Reserve System, upon demand, at either the principal office or at any regional office, complete, correct and current hard copies of any and all such records.
Appears in 2 contracts
Samples: Auction Agency Agreement (Flaherty & Crumrine/Claymore Total Return Fund Inc), Auction Agency Agreement (F&c/Claymore Preferred Securities Income Fund Inc)
Disposition of Cancelled Certificates; Record Retention. The Auction Agent shall retain all stock or share certificates which have been cancelled in transfer or exchange and all accompanying documentation in accordance with applicable rules and regulations of the Securities and Exchange Commission for two calendar years. The Trust Fund also shall also undertake to furnish to the Securities and Exchange Commission and to the Board of Governors of the Federal Reserve System, upon demand, at either the principal office or at any regional office, complete, correct and current hard copies of any and all such records. Thereafter such records shall not be destroyed by the Fund without the concurrence of the Auction Agent.
Appears in 1 contract
Samples: Auction Agency Agreement (Alliance National Municipal Income Fund)
