Expedited Advertising Compliance Review. $[ ] for the first 10 pages (minutes if audio or video); $[ ] per page (minute if audio or video) thereafter, 24 hour initial turnaround. § $[ ] FINRA filing fee per communication piece for the first 10 pages (minutes if audio or video); $[ ] per page (minute if audio or video) thereafter. FINRA filing fee subject to change. (FINRA filing fee may not apply to all communication pieces.)
Expedited Advertising Compliance Review. $____ for the first 10 pages (minutes if audio or video); $____ per page (minute if audio or video) thereafter, 24 hour initial turnaround. § $____ FINRA filing fee per communication piece for the first 10 pages (minutes if audio or video); $____ per page (minute if audio or video) thereafter. FINRA filing fee subject to change. (FINRA filing fee may not apply to all communication pieces.) Licensing of Investment Advisor’s Staff § $____ per year per registered representative § Licenses sponsored: Series 6, 7, 24, 26, 63, 66 § All associated FINRA and state fees for registered representatives, including license and renewal fees Marketing Support Services ▪ The design and/ or production of fund fact sheets, commentaries, brochures and other sales support materials – Project priced via proposal Miscellaneous Expenses All other miscellaneous fees and expenses, including but not limited to the following, will be separately billed as incurred: § Production, printing, distribution, and placement of advertising, sales literature, and materials § Engagement of designers, free-xxxxx writers, and public relations firms § Postage, overnight delivery charges § FINRA registration fees and other costs to fulfill regulatory requirements § Travel, lodging, and meals Additional services not included above shall be mutually agreed upon at the time of the service being added. In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). **Subject to annual CPI increase – All Urban Consumers – U.S. City Average Fees are calculated pro rata and billed monthly. Advisor’s signature below acknowledges approval of the fee schedule on this Exhibit B. By: Terra Firma Asset Management LLC Print Name: ________________________________ Title:__________________________________ Date:_________________________
Expedited Advertising Compliance Review. $[ ] for the first 10 pages (minutes if audio or video); $[ ] per page (minute if audio or video) thereafter, 24 hour initial turnaround. § $[ ] FINRA filing fee per communication piece for the first 10 pages (minutes if audio or video); $[ ] per page (minute if audio or video) thereafter. FINRA filing fee subject to change. (FINRA filing fee may not apply to all communication pieces.) The Following are OPTIONAL Services Provided by USBFS upon Client Request Licensing of Investment Advisor’s Staff § $[ ] per year per registered representative § Quasar sponsors the following licenses: Series 6, 7, 24, 26, 27, 63, 66 § All associated FINRA and state fees for registered representatives, including license and renewal fees Marketing Support Services § Fund Fact Sheets − Design – $[ ] per fact sheet, includes first production − Production – $[ ] per fact sheet per each production period § Web sites, third-party data provider costs, brochures, and other sales support materials – Project priced via Quasar proposal Miscellaneous Expenses All other miscellaneous fees and expenses, including but not limited to the following, will be separately billed as incurred: § Production, printing, distribution, and placement of advertising, sales literature, and materials § Engagement of designers, free-lxxxx writers, and public relations firms § Postage, overnight delivery charges § FINRA registration fees and other costs to fulfill regulatory requirements § Travel, lodging, and meals In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). Fees are calculated pro rata and billed monthly
Expedited Advertising Compliance Review. $____ for the first 10 pages (minutes if audio or video); $____ per page (minute if audio or video) thereafter, 24 hour initial turnaround. $____ FINRA filing fee per communication piece for the first 10 pages (minutes if audio or video); $____ per page (minute if audio or video) thereafter. FINRA filing fee subject to change. (FINRA filing fee may not apply to all communication pieces.) Licensing of Investment Advisor’s Staff $____ per year per registered representative Quasar sponsors the following licenses: Series 6, 7, 24, 26, 27, 63, 66 $____ per FINRA designated branch location All associated FINRA and state fees for registered representatives, including license and renewal fees Fund Fact Sheets Design – $____ per fact sheet, includes first production Production – $____ per fact sheet per each production period All printing costs are Miscellaneous expenses in addition to the design and production fees Web sites, third-party data provider costs, brochures, and other sales support materials – Project priced via Quasar proposal Miscellaneous Expenses Reasonable Miscellaneous expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of shares, including, but not limited to: Typesetting, printing and distribution of prospectuses and shareholder reports Production, printing, distribution, and placement of advertising, sales literature, and materials Engagement of designers, free-xxxxx writers, and public relations firms Postage, overnight delivery charges FINRA registration fees other costs to fulfill regulatory requirements Record retention (Including RR email correspondence if applicable) Travel, lodging, and meals * Subject to annual CPI increase – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. Advisor’s signature below acknowledges approval of the fee schedules on this Exhibit B. By: People’s Securities, Inc. Name: /s/ Xxxxx X. Xxxxxx Title: Head of Research and Portfolio Strategy Date: 11/2/16
Expedited Advertising Compliance Review. $[ ] for the first [ ] pages (minutes if audio or video); $[ ] per page (minute if audio or video) thereafter, 24 hour initial turnaround. • $[ ] FINRA filing fee per communication piece for the first [ ] pages (minutes if audio or video); $[ ] per page (minute if audio or video) thereafter. FINRA filing fee subject to change. (FINRA filing fee may not apply to all communication pieces.) The Following are OPTIONAL Services Provided by USBFS upon Client Request Licensing of Investment Advisor’s Staff • $[ ] per year per registered representative • Licenses sponsored: Series 6. 7. 24, 26, 27. 63, 66 • All associated FINRA and state fees for registered representatives, including license and renewal fees Marketing Support Services • The design and/ or production of fund fact sheets, commentaries, brochures and other sales support materials - Project priced via proposal Miscellaneous Expenses All other miscellaneous fees and expenses, including but not limited to the following, will be separately billed as incurred: • Production. printing. distribution. and placement of advertising. sales literature. and materials • Engagement of designers, free-xxxxx writers, and public relations firms • Postage, overnight delivery charges • FINRA registration fees and other costs to fulfill regulatory requirements • Travel, lodging, and meals Additional services not included above shall be mutually agreed upon at the time of the service being added. In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). *Subject to annual CPI increase-All Urban Consumers - U.S. City Average
Expedited Advertising Compliance Review. ■ $[…]for the first 10 pages (minutes if audio or video); $[…]/page (minute if audio or video) thereafter, 24 hour initial turnaround. ■ $[…]FINRA filing fee per communication piece for the first 10 pages (minutes if audio or video); $[…]/page (minute if audio or video) thereafter. (3 day turnaround IF accepted by FINRA, FINRA filing fee may not apply to all communication pieces) Licensing of Investment Advisor’s Staff (if desired) ■ $[…]/year per registered representative ■ Quasar sponsors the following licenses: Series 0, 0, 00, 00, 00, 00, 00 ■ $[…]/FINRA designated branch location ■ Plus all associated FINRA and state fees for Registered Representatives, including license and renewal fees Fund Fact Sheets ■ Design - $[…]/fact sheet, includes first production ■ Production - $[…]/fact sheet per production period ■ All printing costs are out-of-pocket expenses, and in addition to the design fee and production fee ■ Web sites, third-party data provider costs, brochures, and other sales support materials – Project priced via Quasar proposal Out-of-Pocket Expenses Reasonable out-of-pocket expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of shares, including, but not limited to: ■ Typesetting, printing and distribution of prospectuses and shareholder reports ■ Production, printing, distribution, and placement of advertising, sales literature, and materials ■ Engagement of designers, free-xxxxx writers, and public relations firms ■ Postage, overnight delivery charges ■ FINRA registration fees [To include late U5 charge (if applicable)] (FINRA advertising filing fees are included in Advertising Compliance Review section above) ■ Record retention ■ Travel, lodging, and meals *Subject to annual CPI increase, Milwaukee MSA. Fees are billed monthly. Advisor’s Signature below acknowledges approval of the fee schedule on this Exhibit B. GREAT LAKES ADVISORS, LLC By: /s/ Xxxxxx X. Xxxxx Printed Name and Title: Xxxxxx X. Xxxxx Date: 9/19/12
Expedited Advertising Compliance Review. $_____ for the first 10 pages (minutes if audio or video); $_____ /page (minute if audio or video) thereafter, 24 hour initial turnaround. § $_____ FINRA filing fee per communication piece for the first 10 pages (minutes if audio or video); $_____ /page (minute if audio or video) thereafter.
Expedited Advertising Compliance Review. $600 for the first 10 pages (minutes if audio or video); $25 per page (minute if audio or video) thereafter, 24 hour initial turnaround. • $600 FINRA filing fee per communication piece for the first 10 pages (minutes if audio or video); $50 per page (minute if audio or video) thereafter. FINRA filing fee subject to change. (FINRA filing fee may not apply to all communication pieces.) Licensing of Investment Advisor’s Staff • $2,800 per year per registered representative • Quasar sponsors the following licenses: Series 6, 7, 24, 26, 27, 63, 66 • All associated FINRA and state fees for registered representatives, including license and renewal fees Marketing Support Services • Fund Fact Sheets • Design – $1,000 per fact sheet, includes first production • Production – $500 per fact sheet per each production period • Web sites, third-party data provider costs, brochures, and other sales support materials – Project priced via Quasar proposal Chief Compliance Officer Support Fee* • $3,000 per year per fund complex Miscellaneous Expenses All other miscellaneous fees and expenses, including but not limited to the following, will be separately billed as incurred: • Production, printing, distribution, and placement of advertising, sales literature, and materials • Engagement of designers, free-xxxxx writers, and public relations firms • Postage, overnight delivery charges • FINRA registration fees and other costs to fulfill regulatory requirements • Travel, lodging, and meals In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). * Subject to annual CPI increase – All Urban Consumers – U.S. City Average Fees are calculated pro rata and billed monthly.
Expedited Advertising Compliance Review. $--- for the first 10 pages (minutes if audio or video); $--- /page (minute if audio or video) thereafter, 24 hour initial turnaround. § $--- FINRA filing fee per communication piece for the first 10 pages (minutes if audio or video); $---/page (minute if audio or video) thereafter. FINRA filing fee subject to change. (FINRA filing fee may not apply to all communication pieces.) Out-of-Pocket Expenses Reasonable out-of-pocket expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of shares, including, but not limited to: § Typesetting, printing and distribution of prospectuses and shareholder reports § Production, printing, distribution, and placement of advertising, sales literature, and materials § Engagement of designers, free-lxxxx writers, and public relations firms § Postage, overnight delivery charges § FINRA registration fees (Including late U5 charge if applicable) § Record retention (Including RR email correspondence if applicable) § Travel, lodging, and meals Optional Services Provided by USBFS upon Client Request- Licensing of Investment Advisor’s Staff (if desired) § $--- /year per registered representative § Quasar sponsors the following licenses: Series 6, 7, 24, 26, 27, 63, 66 § $--- /FINRA designated branch location § All associated FINRA and state fees for registered representatives, including license and renewal fees Fund Fact Sheets § Design - $--- /fact sheet, includes first production § Production - $--- /fact sheet per production period § All printing costs are out-of-pocket expenses in addition to the design and production fees § Web sites, third-party data provider costs, brochures, and other sales support materials – Project priced via Quasar proposal Fees are calculated pro rata and billed monthly.
Expedited Advertising Compliance Review. $600 for the first 10 pages (minutes if audio or video): $25 per page (minute if audio or video) thereafter, 24 hour initial turnaround. · $600 FINRA filing fee per communication piece for the first 10 pages (minutes if audio or video); $50 per page (minute if audio or video) thereafter. FINRA filing fee subject to change. (FINRA filing fee may not apply to all communications pieces.) Licensing of Investment Advisor’s Staff · $2,800 per year per registered representative · Quasar sponsors the following licenses: Series 6, 7,24, 26, 27,63, 66 · All associated FINRA and state fees for registered representatives, including license and renewal fees Marketing Support Services · Fund Fact Sheets -Design-$1,000 per fact sheet, includes first production -Production-$500 per fact sheet per each production period Chief Compliance Officer Support Fee* · $3,000 per year per fund complex
