Medallion Distribution Services Sample Clauses

Medallion Distribution Services. (a) Legal review and principal sign-off of Portfolio marketing materials and other sales related materials to ensure compliance with the advertising rules of the relevant regulatory authorities and file such materials, and obtain such approvals for their use as may be required by the SEC or the NASD. OFS will forward all NASD comments on marketing materials to Saratoga.
Sample 1
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Medallion Distribution Services. (a) Prepare quarterly board materials with regard to sales and other distribution-related data reasonably requested by the Board of Trustees.
Sample 1
Medallion Distribution Services. For the medallion distribution services provided under this Agreement, Investors Bank shall pay FDI an annual minimum fee in the first year of this Agreement of $45,000 for the Funds up to a total of five (5) money funds, and an additional $15,000 for each additional Fund/spoke, payable in equal monthly installments on the first business day of each month (the "Base Fee"). Such annual Base Fee shall be increased to a minimum fee of $60,000 in the second year, and $75,000 in the third year of the Agreement, and an additional $15,000 for any Fund or spoke over the initial five (5) funds in the Fund family. The Base Fee as stated above is subject to the following conditions: (I) FDI shall only sponsor two Registered Representatives, if needed, plus out-of-pocket costs as noted below, (Additional sponsorships need to be approved by FDI and shall be subject to $3,000 annual fee per Registered Representative, plus all out-of-pocket expenses); and (ii) the advertising legal review shall be for the lesser of 30 marketing pieces or 150 pages per calendar year. If the advertising legal review exceeds this amount during the relevant annual contract period (the "Annual Period"), Investors Bank shall pay FDI $150 for the first ten (10) pages of advertising legal review for an individual marketing piece and $10 per page thereafter for such advertising legal review that is in excess of 30 pieces or 150 pages as previously described. Fees paid by Investors Bank to FDI for broker/dealer related services (and the commencement of the Annual Period) shall begin on the date first written above. In addition, Investors Bank shall pay FDI a fee of $2,500 (plus travel costs) for each state sales visit required by a FDI registered representative. Should FDI be required to attend more than eight (8) sales presentations within a one year period (beginning April 1, 1998), a fee for such visits will be negotiated between the parties. All fees paid to FDI for the services described in this Agreement are exclusive of out-of-pocket costs. Investors Bank agrees to reimburse FDI for FDI's reasonable out-of-pocket expenses incurred in providing the services hereunder including but not limited to NASD/state securities registration related expenses, including expenses related to sponsorship and maintenance of Registered Representative licenses for FDI and Investors Bank personnel, the licenses of any and all exclusively dedicated teleservicing representatives and NASD filing fees for sales lit...
Sample 1

Related to Medallion Distribution Services

  • Distribution Services The Distributor shall sell and repurchase Shares as set forth below, subject to the registration requirements of the 1933 Act and the rules and regulations thereunder, and the laws governing the sale of securities in the various states ("Blue Sky Laws"):

  • Offering Services The Manager shall manage and supervise:

  • Remittance Processing Services In order to provide a means of collection of the Receivables which will allow the Trustee to receive the proceeds of the Receivables and related security without AmeriCredit or its Affiliates having access to the funds, the parties hereto agree for the benefit of the Trustee that the processing services (the “Service(s)”) of Processor will be used for the collection and the deposit of remittances related to the Receivables and related security.

  • Marketing Services The Manager shall provide advice and assistance in the marketing of the Vessels, including the identification of potential customers, identification of Vessels available for charter opportunities and preparation of bids.

  • Optional Services To the extent that the Fund elects to engage the Transfer Agent to provide the services listed below the Fund shall engage the Transfer Agent to provide such services upon terms and fees to be agreed upon by the parties:

  • Transitional Services Seller shall provide to Buyer, with respect to each Specified Business, upon written request from Buyer received by Seller no later than 30 days prior to the Closing Date, such services as may be reasonably requested by Buyer in connection with the operation of such Specified Business for a commercially reasonable transition period following the Closing to allow for conversion of existing or replacement services, in each case to the extent and only to the extent Seller or its Affiliates retains the Assets and employees necessary to allow the provision of such services (“Transitional Services”). In addition, between the date hereof and the Closing, Seller shall use commercially reasonable efforts to cooperate with Buyer to assist Buyer in developing and implementing a plan of transition. Buyer shall promptly reimburse Seller for the reasonable out-of-pocket costs and any incremental costs and expenses necessary to provide Transitional Services. All other terms and conditions for the provision of Transitional Services shall be reasonably satisfactory to both Buyer and Seller and subject to applicable Law.

  • Hosting Services GSI shall load the Web site onto server(s) that are connected to the Internet and readily accessible via the Web through use of the Domain Names. GSI shall ensure that the Web site is functional and ready to process transactions in a reasonably efficient manner.

  • TECHNICAL SUPPORT SERVICES 2.1 The technical support services (the "Services"): Party A agrees to provide to Party B the relevant services requested by Party B, which are specified in Exhibit 1 attached hereto ("Exhibit 1").

  • Call Center Services Answer telephone inquiries during mutually agreed upon hours each day on which the Fund is open for trading. In the event that the Fund plans to be open on a business day when the New York Stock Exchange is to be closed, the Fund shall provide the Transfer Agent with reasonable advance notice and the parties shall discuss the call center resources available for such day. The Transfer Agent shall answer and respond to inquiries from existing Shareholders, prospective Shareholders of the Fund and broker-dealers on behalf of such Shareholders in accordance with the instructions provided by the Fund to the Transfer Agent for purpose of fulfilling its duties under this Agreement, including, accepting transaction requests on behalf of the Fund.

  • Transactional Services The Service Provider shall communicate to its Customers, as to shares of the Fund, purchase, redemption and exchange orders reflecting the orders it receives from its Customers or from any brokers and banks for their Customers. The Service Provider shall also communicate to beneficial owners holding through it, and to any brokers or banks for beneficial owners holding through them, as to shares of the Fund, mergers, splits and other reorganization activities, and require any broker or bank to communicate such information to its Customers.

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