Common use of Expedited Advertising Compliance Review Clause in Contracts

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

Appears in 1 contract

Samples: Distribution Agreement (Trust for Professional Managers)

AutoNDA by SimpleDocs

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 schedule on this Amended Exhibit B. B Convergence Investment Partners, LLC By: People’s Securities, Inc. Name: /s/ Xxxxx X. Xxxxxx Abitz___________________ Date: 2/20/2017______________________ Name: _David J. Abitz_________________ Title: Head of Research and Portfolio Strategy Date: 11/2/16_President_____________________

Appears in 1 contract

Samples: The Distribution Agreement (Trust for Professional Managers)

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 lxxxx 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.

Appears in 1 contract

Samples: Distribution Agreement (Series Portfolios Trust)

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 lxxxx 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 schedule on this Exhibit B. By: People’s SecuritiesGreen Square Capital Asset Management, Inc. LLC Name: /s/ Rxxxxxx Xxxxx X. Xxxxxx Title: Head of Research President and Portfolio Strategy CCO Date: 11/2/1611/22/2016

Appears in 1 contract

Samples: Distribution Agreement (Managed Portfolio Series)

AutoNDA by SimpleDocs

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 AdvisorAdviser’s Staff $____ 2,800 per year per registered representative Quasar sponsors the following licenses: Series 60, 70, 2400, 2600, 2700, 6300, 66 00 ■ $____ 3,000 per FINRA designated branch location All associated FINRA and state fees for registered representatives, including license and renewal fees Fund Fact Sheets Design – $____ 1,000 per fact sheet, includes first production Production – $____ 500 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 Chief Compliance Officer Support Fee* ■ $3,000 per year per fund complex 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. 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.

Appears in 1 contract

Samples: Distribution Agreement (BMT Investment Funds)

Time is Money Join Law Insider Premium to draft better contracts faster.