Participating Dealer. You are hereby designated a Participating Dealer and as such are authorized (i) to accept orders for the purchase of Shares and to transmit to the Funds such orders and the payment made therefore, (ii) to accept orders for the redemption of Shares and to transmit to the Funds such orders and all additional material, including any certificates for Shares, as may be required to complete the redemption and (iii) to assist shareholders with the foregoing and other matters relating to their investments in each Fund, in each case subject to the terms and conditions set forth in the Prospectus of each Fund. You are to review each Share purchase or redemption order submitted through you or with your assistance for completeness and accuracy. You further agree to undertake from time to time certain shareholder servicing activities for customers of yours who have purchased Shares and who use your facilities to communicate with the Funds or to effect redemptions or additional purchases of the Shares.
Participating Dealer a. You are hereby designated a Participating Dealer and as such are authorized (i) to accept orders for the purchase of RETAIL CLASS SHARES of the Fund and to transmit to the Fund such orders and the payment made therefor; (ii) to accept orders for the redemption or exchange of Shares and to transmit to the Fund such orders and all additional material, including any certificates for Shares, as may be required to complete the redemption; and (iii) to assist shareholders with the foregoing and other matters relating to their investments in the Fund and to the distribution of Shares, in each case subject to the terms and conditions set forth in the Prospectus and applicable provisions of the Investment Company Act and rules adopted thereunder, each as amended, including Rule 22c-1 thereunder. You agree to review each Share purchase or redemption order submitted through you or with your assistance for completeness and accuracy.
b. You agree that, if requested by the Distributor, you will undertake from time to time certain shareholder communication activities ("shareholder services") as requested by the Distributor, for your customers ("Customers") who have purchased Shares. You may perform these duties yourself or subcontract them to a third party of your choice. These shareholder services may include one or more of the following services as determined by the Distributor: (i) responding to Customer inquiries relating to the services performed by you; (ii) responding to routine inquiries from Customers concerning their investments in Shares; and (iii) providing such other similar services as may be reasonably requested by the Distributor to the extent you are permitted to do so under applicable statutes, rules and regulations. In addition, you agree to perform one or more of the following, as may be requested from time to time by the Distributor: (i) establishing and maintaining accounts and records relating to Customers that invest in Shares, including taxpayer identification number certifications; (ii) processing dividend and distribution payments from the Fund on behalf of Customers; (iii) providing information periodically to Customers showing their positions in Shares and forwarding sales literature and advertising provided by the Distributor; (iv) arranging for bank wires; (v) providing subaccounting with respect to Shares owned of record or beneficially by Customers or providing the information to the Fund necessary for subaccounting; (vi) if required b...
Participating Dealer. You are hereby designated a Participating Dealer and as such are authorized (i) to accept orders for the purchase of Shares and to transmit to the Trust such orders and the payment made therefore, (ii) to accept orders for the redemption of Shares and to transmit to the Trust such orders and all additional material, as may be required to complete the redemption and (iii) to assist shareholders with the foregoing and other matters relating to their investments in each series of the Trust, in each case subject to the terms and conditions set forth in the Prospectus of each series. You are to review each Share purchase or redemption order submitted through you or with your assistance for completeness and accuracy. You further agree to undertake from time to time certain shareholder servicing activities for customers of yours who have purchased Shares and who use your facilities to communicate with the Trust or to effect redemptions or additional purchases of the Shares.
Participating Dealer. The provisions of this section apply only to Sourcewell and Vendor. Any dispute between any Participating Entity and any Participating Dealer must be resolved between the Participating Entity and the Participating Dealer. Vendor shall not be held liable for a Participating Dealer’s failure to perform in accordance with a Purchase Order or other directive from a Participating Entity.
Participating Dealer. You are hereby designated a Participating Dealer and as such are authorized (i) to accept orders for the purchase of Shares of the Funds, as specified in Schedule 1, as it may be amended from time to time, and to transmit to the Funds such orders and the payment made therefor, (ii) to accept orders for the redemption of Shares and to transmit to the Funds such orders and all additional material, including any certificates for Shares, as may be required to complete the redemption, and (iii) to assist shareholders with the foregoing and other matters relating to their investments in the Funds and to the distribution of Shares, in each case subject to the terms and conditions set forth in the Prospectus and applicable provisions of the Investment Company Act, including Rule 22c-1 thereunder. You are to review each Share purchase or redemption order submitted through you or with your assistance for completeness and accuracy. In performing the services described in this Agreement, you will provide such office space and equipment, telephone facilities and personnel (which may be any part of the space, equipment and facilities currently used by your business or any personnel employed by you) as may be reasonably necessary or beneficial to provide such services. In order to promote the sale of the Funds, you agree to:
(i) provide monthly sales and asset level statistics for each Fund sorted by state, branch and broker;
(ii) provide professional research coverage for the Funds and/or provide distribution of the Funds’ educational or marketing materials as requested by the Distributor;
(iii) provide the Funds’ marketing representatives with reasonable access to your offices and branches so as to allow such representatives to provide broker education through sales meetings and other broker contact; and
(iv) provide such other services analogous to the foregoing as you customarily provide to clients with respect to holdings of shares of open-end investment companies or exchange-listed stocks or as the Distributor or the Fund may reasonably request to the extent you are permitted to do so under applicable statutes, rules and regulations.
Participating Dealer. 2.01 The Participating Dealer is hereby authorized (i) to accept orders for the purchase of SHARES of a Fund and to transmit to the applicable Fund such orders and the payment made therefor; (ii) to accept orders for the redemption or exchange of Shares of a Fund and to transmit to the applicable Fund such orders and all additional material, including any certificates for Shares, as may be required to complete such redemption or exchange; and (iii) to assist Shareholders with the foregoing and other matters relating to their investments in a Fund and to the distribution of Shares, in each case subject to the terms and conditions set forth in the Prospectus and applicable provisions of the 1940 Act and the applicable rules promulgated thereunder, including Rule 22c-1 thereunder. The Participating Dealer agrees to review each Share purchase or redemption order it accepts for completeness and accuracy.
2.02 The Participating Dealer hereby agrees that, if requested by the Distributor, it will perform certain shareholder communication activities ("SHAREHOLDER SERVICES") as requested by the Distributor, on behalf of Participating Dealer's customers who purchase or hold Shares ("CUSTOMERS"). The Participating Dealer may perform such Shareholder Services itself or subcontract the performance of such Shareholder Services to a third party; provided, however, that all fees and expenses incurred in any delegation or sub-contract shall be paid by the Participating Dealer and the Participating Dealer shall remain responsible to the Distributor for the acts and omissions of such third parties as if such acts or omissions were the acts or omissions of the Participating Dealer. Shareholder Services may include one or more of the following services as determined by the Distributor: (i) responding to Customer inquiries relating to the services performed by the Participating
Participating Dealer. HTK is hereby designated a Participating Dealer and as such is authorized (i) to accept orders for the purchase of Shares and to transmit to the Funds such orders and the payment made therefore, (ii) to accept orders for the redemption of Shares and to transmit to the Funds such orders and all additional material, including any certificates for Shares, as may be required to complete the redemption and (iii) to assist shareholders with the foregoing and other matters relating to their investments in each Fund, in each case subject to the terms and conditions set forth in the Prospectus of each Fund. HTK is to review each Share purchase or redemption order submitted for completeness and accuracy. HTK further agrees to undertake from time to time certain shareholder servicing activities for customers who have purchased Shares and who use HTK facilities to communicate with the Funds or to effect redemptions or additional purchases of the Shares.
Participating Dealer. Corporate Name and D/B/A Name (print)
Participating Dealer the Grant Equipment vendor responsible for submitting TNGVGP application in accordance with Section 394.009, Texas Health and Safety Code.
Participating Dealer. You are hereby designated a Participating Dealer and as such are authorized to (i) accept orders for the original purchase of Shares or purchase by exchange, and transmit to the Funds such orders and the payment made therefore, (ii) accept orders for the redemption of Shares, and transmit to the Funds such orders and all additional material, including any Share certificates, as may be required to complete the redemption, and (iii) assist your customers ("Customers") with the foregoing purchases, redemptions and exchanges, as well as all other matters relating to their investments in the Funds, in each case subject to the terms and conditions set forth in the Prospectus. You are to review each Share purchase or redemption order submitted through you or with your assistance for completeness and accuracy. You further agree to undertake from time to time certain shareholder servicing and account maintenance activities on behalf of your Customers who have purchased Shares and who use your facilities, including handling all inquiries related to the status of their investment and positions or transactions in Shares reflected in their account; communicating with the Funds; effecting redemptions, purchases and exchanges of Shares; and distributing confirmations and account statements and otherwise preparing and maintaining accurate and complete Customer account records with respect to Customer assets invested in Shares of the Fund.
