Common use of Frequent or Disruptive Trading in Shares Clause in Contracts

Frequent or Disruptive Trading in Shares. 6.1. The Trust has adopted written policies and procedures reasonably designed to detect and prevent frequent and/or disruptive trading in shares of the Trust. In addition to effecting its own policies and procedures to detect and prevent frequent and/or disruptive trading in shares of the Trust, the Company agrees to cooperate with the Distributor to effect the Trust’s policies and procedures as follows: 6.2. The Company agrees, on its own behalf, and on behalf of its affiliates, to provide the following information to the Distributor, or its designee: (i) the taxpayer identification number (“TIN”) of all shareholders that purchased, redeemed, transferred or exchanged shares of the Trust through an account maintained by the Company during the period covered by the request; (ii) the amount, date, name or other identifier of any investment professional associated with the shareholder account of such shareholder purchases, redemptions, transfers and exchanges; (iii) the transaction type of every purchase, redemption, transfer or exchange of shares of the Trust held through the Company during the period covered by the request; and (iv) any other data mutually agreed upon in writing. 6.3. Requests to provide information shall set forth the specific period for which transaction information is sought. However, unless otherwise agreed to by the Company, any such request shall not cover a period of more than ninety (90) consecutive business days and the Company shall not be required to provide such shareholder information more frequently than daily. The Company agrees to transmit the requested information described in Section 6.2 above, to the extent such information is contained in the Company’s books and records, to the Distributor or its designee promptly, but in any event not later than ten (10) business days, after receipt of the request. If the requested information is not contained in the Company’s books and records, the Company agrees to use reasonable efforts to promptly obtain and transmit the requested information. 6.4. To the extent reasonably practicable, the format for any transaction information provided to the Distributor by the Company should be consistent with the NSCC Standardized Data Reporting Format. The Company shall inform the Distributor as soon as practicable if the format of the transaction information changes. 6.5. The Distributor specifically agrees not to use the information received for marketing or any similar purpose without the prior written consent of the Company. 6.6. The Company agrees to take reasonable steps to execute written instructions from the Distributor to restrict or prohibit further purchases or exchanges of shares of the Trust by a shareholder who has been identified by the Distributor as having engaged in transactions of the Trust’s shares (directly or indirectly through the Company’s account) that violate policies established by the Trust for the purpose of eliminating or reducing any dilution of the value of the outstanding shares of the Trust. Instructions must include the following: • the TIN; and • the specific restriction(s) to be executed, including the length of time such restriction shall remain in place. The Company agrees to use reasonable efforts to execute instructions as soon as reasonably practicable, but not later than five (5) business days after receipt of the instructions. The Company shall provide written confirmation to the Distributor as soon as reasonably practicable that instructions have been executed.

Frequent or Disruptive Trading in Shares. 6.1. The Trust has adopted written policies and procedures reasonably designed to detect and prevent frequent and/or disruptive trading in shares of the Trust. In addition to effecting its own policies and procedures to detect and prevent frequent and/or disruptive trading in shares of the Trust, the Company agrees to cooperate with the Distributor to effect the Trust’s policies and procedures as follows: 6.2. The Company agrees, on its own behalf, and on behalf of its affiliates, to provide the following information to the Distributor, or its designee: (i) the taxpayer identification number (“TIN”) of all shareholders that purchased, redeemed, transferred or exchanged shares of the Trust through an account maintained by the Company during the period covered by the request; (ii) the amount, date, name or other identifier of any investment professional associated with the shareholder account of such shareholder purchases, redemptions, transfers and exchanges; (iii) the transaction type of every purchase, redemption, transfer or exchange of shares of the Trust held through the Company during the period covered by the request; and (iv) any other data mutually agreed upon in writing. 6.3. Requests to provide information shall set forth the specific period for which transaction information is sought. However, unless otherwise agreed to by the Company, any such request shall not cover a period of more than ninety (90) consecutive business days and the Company shall not be required to provide such shareholder information more frequently than daily. The Company agrees to transmit the requested information described in Section 6.2 above, to the extent such information is contained in the Company’s books and records, to the Distributor or its designee promptly, but in any event not later than ten (10) business days, after receipt of the request. If the requested information is not contained in the Company’s books and records, the Company agrees to use reasonable efforts to promptly obtain and transmit the requested information. 6.4. To the extent reasonably practicable, the format for any transaction information provided to the Distributor by the Company should be consistent with the NSCC Standardized Data Reporting Format. The Company shall inform the Distributor as soon as practicable if the format of the transaction information changes. 6.5. The Distributor specifically agrees not to use the information received for marketing or any similar purpose without the prior written consent of the Company. 6.6. The Company agrees to take reasonable steps to execute written instructions from the Distributor to restrict or prohibit further purchases or exchanges of shares of the Trust by a shareholder who has been identified by the Distributor as having engaged in transactions of the Trust’s shares (directly or indirectly through the Company’s account) that violate policies established by the Trust for the purpose of eliminating or reducing any dilution of the value of the outstanding shares of the Trust. Instructions must include the following: • · the TIN; and • · the specific restriction(s) to be executed, including the length of time such restriction shall remain in place. The Company agrees to use reasonable efforts to execute instructions as soon as reasonably practicable, but not later than five (5) business days after receipt of the instructions. The Company shall provide written confirmation to the Distributor as soon as reasonably practicable that instructions have been executed.

Frequent or Disruptive Trading in Shares. 6.1. The Trust has Funds have adopted written policies and procedures reasonably designed to detect and prevent frequent and/or disruptive trading in shares of the TrustShares. In addition to effecting its own policies and procedures to detect and prevent frequent and/or disruptive trading in shares of the TrustShares, the Company agrees to cooperate with the Distributor to effect the Trust’s Funds’ policies and procedures as follows: 6.2. (a) The Company agrees, on its own behalf, and on behalf of its affiliates, to provide the following information to the Distributor, or its designee, upon request: (i) the taxpayer identification number (“TIN”) of all shareholders that purchased, redeemed, transferred or exchanged shares Shares of the Trust Funds through an account maintained by the Company during the period covered by the request; (ii) the amount, date, name or other identifier of any investment professional associated with the shareholder account of such shareholder purchases, redemptions, transfers and exchanges; (iii) the transaction type of every purchase, redemption, transfer or exchange of shares of the Trust Shares held through the Company during the period covered by the request; and (iv) any other data mutually agreed upon in writing. 6.3. (b) Requests to provide transaction information shall set forth the specific period for which transaction the information is sought. However, unless otherwise agreed to by the Company, any such request shall not cover a period of more than ninety (90) consecutive business days and the Company shall not be required to provide such shareholder information more frequently than dailymonthly. The Company agrees to transmit the requested information described in Section 6.2 paragraph (a) above, to the extent such information is contained in the Company’s books and records, to the Distributor or its designee promptly, but in any event not later than ten (10) business days, after receipt of the request. If the requested information is not contained in the Company’s books and records, the Company agrees to use reasonable efforts to promptly obtain and transmit the requested information. 6.4. (c) To the extent reasonably practicable, the format for any transaction information provided to the Distributor by the Company should be consistent with the NSCC Standardized Data Reporting Format. The Company shall inform the Distributor as soon as practicable if the format of the transaction information changes. 6.5. (d) The Distributor specifically agrees not to use the information received for marketing or any similar purpose without the prior written consent of the Company. 6.6. (e) The Company agrees to take reasonable steps to execute written instructions from the Distributor to restrict or prohibit further purchases or exchanges of shares of the Trust Shares by a shareholder who has been identified by the Distributor as having engaged in transactions of the TrustFund’s shares Shares (directly or indirectly through the Company’s account) that violate policies established by the Trust Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding shares Shares of the TrustFund. Instructions must include the following: • · the TIN; and • · the specific restriction(s) to be executed, including the length of time such restriction shall remain in place. The Company agrees to use reasonable efforts to execute instructions as soon as reasonably practicable, but not later than five (5) business days after receipt of the instructions. The Company shall provide written confirmation to the Distributor as soon as reasonably practicable that instructions have been executed.

Frequent or Disruptive Trading in Shares. 6.1. The Trust has adopted written policies and procedures reasonably designed to detect and prevent frequent and/or disruptive trading in shares of the Trust. In addition to effecting its own policies and procedures to detect and prevent frequent and/or disruptive trading in shares of the Trust, the Company agrees to cooperate with the Distributor to effect the Trust’s policies and procedures as follows: 6.2. The Company agrees, on its own behalf, and on behalf of its affiliates, to provide the following information to the Distributor, or its designee: (i) the contract number or taxpayer identification number (“TIN”) of all shareholders that purchased, redeemed, transferred or exchanged shares of the Trust through an account maintained by the Company during the period covered by the request; (ii) the amount, date, name or other identifier of any investment professional associated with the shareholder account of such shareholder purchases, redemptions, transfers and exchanges; (iii) the transaction type of every purchase, redemption, transfer or exchange of shares of the Trust held through the Company during the period covered by the request; and (iv) any other data mutually agreed upon in writingwilting. 6.3. Requests to provide information shall set forth the specific period for which transaction information is sought. However, unless otherwise agreed to by the Company, any such request shall not cover a period of more than ninety (90) consecutive business days and the Company shall not be required to provide such shareholder information more frequently than daily. The Company agrees to transmit the requested information described in Section 6.2 above, to the extent such information is contained in the Company’s books and records, to the Distributor or its designee promptly, but in any event not later than ten (10) business days, after receipt of the request. If the requested information is not contained in the Company’s books and records, the Company agrees to use reasonable efforts to promptly obtain and transmit the requested information. 6.4. To the extent reasonably practicable, the format for any transaction information provided to the Distributor by the Company should be consistent with the NSCC Standardized Data Reporting Format. , The Company shall inform the Distributor as soon as practicable if the format of the transaction information changes. 6.5. The Distributor specifically agrees not to use the information received for marketing or any similar purpose without the prior written consent of the Company. 6.6. The Company agrees to take reasonable steps to execute written instructions from the Distributor to restrict or prohibit further purchases or exchanges of shares of the Trust by a shareholder who has been identified by the Distributor as having engaged in transactions of the Trust’s shares (directly or indirectly through the Company’s account) that violate policies established by the Trust for the purpose of eliminating or reducing any dilution of the value of the outstanding shares of the Trust. Instructions must include the following: • the TIN; and • the specific restriction(srestrictions) to be executed, including the length of time such restriction shall remain in place. The Company agrees to use reasonable efforts to execute instructions as soon as reasonably practicable, but not later than five (5) business days after receipt of the instructions. The Company shall provide written confirmation to the Distributor as soon as reasonably practicable that instructions have been executed.

Frequent or Disruptive Trading in Shares. 6.1. The Trust has adopted written policies and procedures reasonably designed to detect and prevent frequent and/or disruptive trading in shares of the Trust. In addition to effecting its own policies and procedures to detect and prevent frequent and/or disruptive trading in shares of the Trust, the Company agrees to cooperate with the Distributor to effect the Trust’s 's policies and procedures as follows: 6.2. The Company agrees, on its own behalf, and on behalf of its affiliates, to provide the following information to the Distributor, or its designee: (i) the contract number or taxpayer identification number (“"TIN”") of all shareholders that purchased, redeemed, transferred or exchanged shares of the Trust through an account maintained by the Company during the period covered by the request; (ii) the amount, date, name or other identifier of any investment professional associated with the shareholder account of such shareholder purchases, redemptions, transfers and exchanges; (iii) the transaction type of every purchase, redemption, transfer or exchange of shares of the Trust held through the Company during the period covered by the request; and (iv) any other data mutually agreed upon in writing. 6.3. Requests to provide information shall set forth the specific period for which transaction information is sought. However, unless otherwise agreed to by the Company, any such request shall not cover a period of more than ninety (90) consecutive business days and the Company shall not be required to provide such shareholder information more frequently than daily. The Company agrees to transmit the requested information described in Section 6.2 above, to the extent such information is contained in the Company’s 's books and records, to the Distributor or its designee promptly, but in any event not later than ten (10) business days, after receipt of the request. If the requested information is not contained in the Company’s 's books and records, the Company agrees to use reasonable efforts to promptly obtain and transmit the requested information. 6.4. To the extent reasonably practicable, the format for any transaction information provided to the Distributor by the Company should be consistent with the NSCC Standardized Data Reporting Format. The Company shall inform the Distributor as soon as practicable if the format of the transaction information changes. 6.5. The Distributor specifically agrees not to use the information received for marketing or any similar purpose without the prior written consent of the Company. 6.6. The Company agrees to take reasonable steps to execute written instructions from the Distributor to restrict or prohibit further purchases or exchanges of shares of the Trust by a shareholder who has been identified by the Distributor as having engaged in transactions of the Trust’s 's shares (directly or indirectly through the Company’s 's account) that violate policies established by the Trust for the purpose of eliminating or reducing any dilution of the value of the outstanding shares of the Trust. Instructions must include the following: • the TIN; and • the specific restriction(s) to be executed, including the length of time such restriction shall remain in place. The Company agrees to use reasonable efforts to execute instructions as soon as reasonably practicable, but not later than five (5) business days after receipt of the instructions. The Company shall provide written confirmation to the Distributor as soon as reasonably practicable that instructions have been executed.

Frequent or Disruptive Trading in Shares. 6.1. The Trust has adopted written policies and procedures reasonably designed to detect and prevent frequent and/or disruptive trading in shares of the Trust. In addition to effecting its own policies and procedures to detect and prevent frequent and/or disruptive trading in shares of the Trust, the Company agrees to cooperate with the Distributor to effect the Trust’s Trusts policies and procedures as follows: 6.2. The Company agrees, on its own behalf, and on behalf of its affiliates, to provide the following information to the Distributor, or its designee: (i) the taxpayer identification number (“TIN”) of all shareholders that purchased, redeemed, transferred or exchanged shares of the Trust through an account maintained by the Company during the period covered by the request; (ii) the amount, date, name or other identifier of any investment professional associated with the shareholder account of such shareholder purchases, redemptions, transfers and exchanges; (iii) the transaction type of every purchase, redemption, transfer or exchange of shares of the Trust held through the Company during the period covered by the request; and (iv) any other data mutually agreed upon in writing. 6.3. Requests to provide information shall set forth the specific period for which transaction information is sought. However, unless otherwise agreed to by the Company, any such request shall not cover a period of more than ninety (90) consecutive business days and the Company shall not be required to provide such shareholder information more frequently than daily. The Company agrees to transmit the requested information described in Section 6.2 above, to the extent such information is contained in the Company’s Companys books and records, to the Distributor or its designee promptly, but in any event not later than ten (10) business days, after receipt of the request. If the requested information is not contained in the Company’s Companys books and records, the Company agrees to use reasonable efforts to promptly obtain and transmit the requested information. 6.4. To the extent reasonably practicable, the format for any transaction information provided to the Distributor by the Company should be consistent with the NSCC Standardized Data Reporting Format. The Company shall inform the Distributor as soon as practicable if the format of the transaction information changes. 6.5. The Distributor specifically agrees not to use the information received for marketing or any similar purpose without the prior written consent of the Company. 6.6. The Company agrees to take reasonable steps to execute written instructions from the Distributor to restrict or prohibit further purchases or exchanges of shares of the Trust by a shareholder who has been identified by the Distributor as having engaged in transactions of the Trust’s Trusts shares (directly or indirectly through the Company’s Companys account) that violate policies established by the Trust for the purpose of eliminating or reducing any dilution of the value of the outstanding shares of the Trust. Instructions must include the following: • the TIN; and • the specific restriction(s) to be executed, including the length of time such restriction shall remain in place. The Company agrees to use reasonable efforts to execute instructions as soon as reasonably practicable, but not later than five (5) business days after receipt of the instructions. The Company shall provide written confirmation to the Distributor as soon as reasonably practicable that instructions have been executed.

Frequent or Disruptive Trading in Shares. 6.1. The Trust has adopted written policies and procedures reasonably designed to detect and prevent frequent and/or disruptive trading in shares of the Trust. In addition to effecting its own policies and procedures to detect and prevent frequent and/or disruptive trading in shares of the Trust, the Company agrees to cooperate with the Distributor to effect the Trust’s Trusts policies and procedures as follows: 6.2. The Company agrees, on its own behalf, and on behalf of its affiliates, to provide the following information to the Distributor, or its designee: (i) the taxpayer identification number (“TIN”) of all shareholders that purchased, redeemed, transferred or exchanged shares of the Trust through an account maintained by the Company during the period covered by the request; (ii) the amount, date, name or other identifier of any investment professional associated with the shareholder account of such shareholder purchases, redemptions, transfers and exchanges; (iii) the transaction type of every purchase, redemption, transfer or exchange of shares of the Trust held through the Company during the period covered by the request; and (iv) any other data mutually agreed upon in writing. 6.3. Requests to provide information shall set forth the specific period for which transaction information is sought. However, unless otherwise agreed to by the Company, any such request shall not cover a period of more than ninety (90) consecutive business days and the Company shall not be required to provide such shareholder information more frequently than daily. The Company agrees to transmit the requested information described in Section 6.2 above, to the extent such information is contained in the Company’s Companys books and records, to the Distributor or its designee promptly, but in any event not later than ten (10) business days, after receipt of the request. If the requested information is not contained in the Company’s Companys books and records, the Company agrees to use reasonable efforts to promptly obtain and transmit the requested information. 6.40.0. To Xx the extent reasonably practicable, the format for any transaction information provided to the Distributor by the Company should be consistent with the NSCC Standardized Data Reporting Format. The Company shall inform the Distributor as soon as practicable if the format of the transaction information changes. 6.5. The Distributor specifically agrees not to use the information received for marketing or any similar purpose without the prior written consent of the Company. 6.6. The Company agrees to take reasonable steps to execute written instructions from the Distributor to restrict or prohibit further purchases or exchanges of shares of the Trust by a shareholder who has been identified by the Distributor as having engaged in transactions of the Trust’s Trusts shares (directly or indirectly through the Company’s Companys account) that violate policies established by the Trust for the purpose of eliminating or reducing any dilution of the value of the outstanding shares of the Trust. Instructions must include the following: • the TIN; and • the specific restriction(s) to be executed, including the length of time such restriction shall remain in place. The Company agrees to use reasonable efforts to execute instructions as soon as reasonably practicable, but not later than five (5) business days after receipt of the instructions. The Company shall provide written confirmation to the Distributor as soon as reasonably practicable that instructions have been executed.

Frequent or Disruptive Trading in Shares. 6.1. The Trust has adopted written policies and procedures reasonably designed to detect and prevent frequent and/or disruptive trading in shares of the Trust. In addition to effecting its own policies and procedures to detect and prevent frequent and/or disruptive trading in shares of the Trust, the Company agrees to cooperate with the Distributor to effect the Trust’s policies and procedures as follows: 6.2. The Company agrees, on its own behalf, and on behalf of its affiliates, to provide the following information to the Distributor, or its designee: (i) the taxpayer identification number (“TIN”) Customer Information of all shareholders that purchased, redeemed, transferred or exchanged shares of the Trust through an account maintained by the Company during the period covered by the request; (ii) the amount, date, name or other identifier of any investment professional associated with the shareholder account of such shareholder purchases, redemptions, transfers and exchanges; (iii) the transaction type of every purchase, redemption, transfer or exchange of shares of the Trust held through the Company during the period covered by the request; and (iv) any other data mutually agreed upon in writing. 6.3. Requests to provide information shall set forth the specific period for which transaction information is sought. However, unless otherwise agreed to by the Company, any such request shall not cover a period of more than ninety (90) consecutive business days and the Company shall not be required to provide such shareholder information more frequently than daily. The Company agrees to transmit the requested information described in Section 6.2 above, to the extent such information is contained in the Company’s books and records, to the Distributor or its designee promptly, but in any event not later than ten (10) business days, after receipt of the request. If the requested information is not contained in the Company’s books and records, the Company agrees to use reasonable efforts to promptly obtain and transmit the requested information. 6.4. To the extent reasonably practicable, the format for any transaction information provided to the Distributor by the Company should be consistent with the NSCC Standardized Data Reporting Format. The Company shall inform the Distributor as soon as practicable if the format of the transaction information changes. 6.5. The Distributor specifically agrees not to use the information received for marketing or any similar purpose without the prior written consent of the Company. 6.6. The Company agrees to take reasonable steps to execute written instructions from the Distributor to restrict or prohibit further purchases or exchanges of shares of the Trust by a shareholder who has been identified by the Distributor as having engaged in transactions of the Trust’s shares (directly or indirectly through the Company’s account) that violate policies established by the Trust for the purpose of eliminating or reducing any dilution of the value of the outstanding shares of the Trust. Instructions must include the following: • · the TINCustomer Information; and • · the specific restriction(s) to be executed, including the length of time such restriction shall remain in place. The Company agrees to use reasonable efforts to execute instructions as soon as reasonably practicable, but not later than five 10 (5ten) business days after receipt of the instructions. The Company shall provide written confirmation to the Distributor as soon as reasonably practicable that instructions have been executed.