Rules 17a Sample Clauses

Rules 17a. 3 and 17a-4. The Agent shall maintain accurate and complete records with respect to services performed by the Agent in connection with the purchase and redemption of Shares. Such records shall be maintained in form reasonably acceptable to the Trust and in compliance with the requirements of Rules 17a-3 and 17a-4 under the Securities Exchange Act of 1934, as amended, pursuant to which any dealer of the Shares must maintain certain records. All such records maintained by the Agent shall be the property of such dealer and will be made available for inspection and use by the Trust or such dealer upon the request of either. The Agent shall file with the Securities and Exchange Commission and other appropriate governmental authorities, and furnish to the Trust and any such dealer copies of, all reports and undertakings as may be reasonably requested by the Trust or such dealer in order to comply with the said rules. If so requested by any such dealer, the Agent shall confirm to such dealer its obligations under this Section 10.2 by a writing reasonably satisfactory to such dealer.
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Rules 17a. 3 and 17a-4. The Shareholder Servicing Agent shall maintain accurate and complete records with respect to services performed by the Shareholder Servicing Agent in connection with the purchase and redemption of Class A Shares through the Distributor. Such records shall be maintained in a form reasonably acceptable to the Company and in compliance with the requirements of Rules 17a-3 and 17a-4 under the Securities Exchange Act of 1934, as amended, pursuant to which any dealer of Class A Shares must maintain certain records. All such records maintained by the Shareholder Servicing Agent shall be the property of the Distributor and will be made available for inspection and use by the Company or the Distributor upon the request of either. The Shareholder Servicing Agent shall file with the Securities and Exchange Commission and other appropriate governmental authorities, and furnish to the Company and the Distributor copies of, all reports and undertakings as may be reasonably requested by the Company or the Distributor in order to comply with such rules. If so requested by the Distributor, the Shareholder Servicing Agent shall confirm to the Distributor its obligations under this Section 10.2 by a writing reasonably satisfactory to the Distributor.
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Rules 17a. 3 AND 17a-4. The Agent shall maintain accurate and complete records with respect to services performed by the Agent in connection with the purchase and redemption of Shares. The Agent hereby undertakes to permit examination of such records at any time or from time to time during business hours by examiners or other representatives of the SEC or other authorities and offices having regulatory authority over the Trust or any dealer of the Shares, and to furnish to such authorities and offices or the SEC at the location specified by any of them copies of any or all of such records as may be requested by any of them. Such records shall include the data and be maintained in the form and for the time periods specified in Schedule A attached hereto and incorporated herein by reference ("Schedule A"). Compliance by the Agent with the record keeping requirements specified in Schedule A and such reporting requirements, if any, as may be specified by the Trust, from time to time, shall be deemed to satisfy fully any obligation of the Agent hereunder to comply with Rules 17a-3 and 17a-4 under the Securities Exchange Act of 1934 pursuant to which any dealer of the Shares must maintain certain records and file reports or other documents. All such records maintained by the Agent pursuant to this Section 10.2 of this Agreement shall be the property of such dealer and will be made available for inspection and use by the Trust or such dealer upon the request of either of them. If so requested by any such dealer, the Agent shall confirm to such dealer its obligations under this Section 10.2 by a writing reasonably satisfactory to such dealer.
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Rules 17a. 3 and 17a-4. The Organization shall maintain accurate and --------------------- complete records with respect to services performed by the Organization in connection with the purchase and redemption of Shares. Such records shall be maintained in form reasonably acceptable to the Trust and in compliance with the requirements of all applicable laws, rules and regulations, including without limitation, Rules 17a-3 and 17a-4 under the Securities Exchange Act of 1934, as amended, pursuant to which any dealer of the Shares must maintain certain records. All such records maintained by the Organization shall be the property of such dealer and will be made available for inspection and use by the Trust or such dealer upon the request of either. The Organization shall file with the Securities and Exchange Commission and other appropriate governmental authorities, and furnish to the Trust and any such dealer copies of, all reports and undertakings as may be reasonably requested by the Trust or such dealer in order to comply with the said rules. If so requested by any such dealer, the Organization shall confirm to such dealer its obligations under this Section 10.2 by a writing reasonably satisfactory to such dealer.
Sample 1
Rules 17a. 3 and 17a-4. The Shareholder Servicing Agent shall maintain accurate and complete records with respect to services performed by the Shareholder Servicing Agent in connection with the purchase and redemption of Shares through the Distributor. Such records shall be maintained in a form reasonably acceptable to the Company and in compliance with the requirements of Rules 17a-3 and 17a-4 under the Securities Exchange Act of 1934, as amended,
Sample 1

Related to Rules 17a

  • RULES & REGULATIONS The Exhibitor must comply with the requirements of all Authorities and where applicable with all rules and regulations issued by the owner of the Venue in force at the time of the Exhibition. The Exhibitor undertakes to comply with the obligations and duties contained or referred to in the Contract including (without limitation) those contained or to be contained in the Exhibitors’ Manual. Exemptions from any of these obligations and duties may be granted at the Organisers’ discretion. No exemption given by the Organisers will be effective unless in writing. The Contract comprises these Terms and Conditions, the Exhibition Space Contract and the Exhibitors’ Manual) except as varied in writing signed by the parties.

  • Rules of NASD, etc Xxxxxx will conform to the Rules of Fair Practice of the National Association of Securities Dealers, Inc. and the sale of securities laws of any jurisdiction in which it sells, directly or indirectly, any shares. Xxxxxx also agrees to furnish to the Fund sufficient copies of any agreements or plans it intends to use in connection with any sales of shares in adequate time for the Fund to file and clear them with the proper authorities before they are put in use, and not to use them until so filed and cleared.

  • Model Rules of Procedure The procedure before the Panel shall be conducted in accordance with the Model Rules of Procedure set out in Annex 12 (Model Rules of Procedure). Exceptionally, the disputing Parties may agree on different rules to be applied by the Panel. 2. The Model Rules of Procedure are necessary for the good development of all the steps in this Chapter. In addition, these rules shall regulate the development of the procedure, pursuant to the following principles: (a) the procedures shall ensure the right to at least one hearing before the Panel, as well as the opportunity for each disputing Party to provide initial and rebuttal written submissions, and allow the use of any technological means to ensure its authenticity; and (b) the hearings before the Panel, the deliberations, as well as all the submissions and communications submitted during the hearings, shall be confidential.

  • Rules and Procedures The Benefit Society By-Laws will be amended to provide for a 6th Director with three Directors appointed by the Unions and three Directors appointed by the Corporation.

  • Rules of Procedure By referring any specific grievance to be dealt with in the expedited arbitration procedure it is understood and agreed that the matter is to be dealt with in accordance with the Rules of Procedure attached to this Agreement as Appendix 1.

  • General Rules 1.1 Unless the context clearly indicates otherwise, the definitions set forth in this Article of this Agreement shall apply to the entire Agreement and all attachments incorporated by reference herein into this Agreement. A defined term intended to convey the meaning stated in this Agreement is capitalized when used. 1.2 Additional definitions that are specific to the matters covered in a particular Article, attachment or provision may appear in that Article, attachment or provision. To the extent that there is any difference of interpretation between a definition set forth in this Agreement and any definition in a specific Article, attachment or provision, the definition set forth in the specific Article, attachment or provision shall control with respect to that Article, attachment or provision. 1.3 Capitalized terms that are not otherwise defined in this Article or elsewhere within the Agreement but are defined in the Telecommunications Act of 1996 (Act) and/or the orders and rules implementing the Act shall have the meaning set forth in the Act or in such orders and rules. 1.4 Terms used in a Tariff shall have the meanings stated in the Tariff. 1.5 Unless the context clearly indicates otherwise, any term defined in this Agreement which is defined or used in the singular shall include the plural, and any term defined in this Agreement which is defined or used in the plural shall include the singular. 1.6 The words “shall” and “will” are used interchangeably throughout the Agreement and the use of either indicates a mandatory requirement. The use of one or the other shall not confer a different degree of right or obligation for either Party.

  • Applicable Rules and Regulations The Account and each transaction therein shall be subject to the terms of this Agreement and to (a) all applicable laws and the regulations, rules and orders (collectively "regulations") of all regulatory and self-regulatory organizations having jurisdiction and (b) the constitution, by-laws, rules, regulations, orders, resolutions, interpretations and customs and usages (collectively "rules") of the market and any associated clearing organization (each an "exchange") on or subject to the rules of which such transaction is executed and/or cleared. The reference in the preceding sentence to exchange rules is solely for DWR's protection and DWR's failure to comply therewith shall not constitute a breach of this Agreement or relieve Customer of any obligation or responsibility under this Agreement. DWR shall not be liable to Customer as a result of any action by DWR, its officers, directors, employees or agents to comply with any rule or regulation.

  • Grant Regulations; Definitions Section 1.01. All provisions of the Special Operations Grant Regulations of ADB, dated 7 February 2005 (the “Grant Regulations”), are hereby made applicable to this Grant Agreement with the same force and effect as if they were fully set forth herein. Section 1.02. The definitions set forth in the Grant Regulations are applicable to this Grant Agreement unless the context requires otherwise. In addition, the following terms have the following meanings:

  • Rules, Regulations and Policies Employee shall abide by and comply with all of the rules, regulations, and policies of Employer, including without limitation Employer's policy of strict adherence to, and compliance with, any and all requirements of the banking, securities, and antitrust laws and regulations.

  • Special Rules and Definitions The following additional rules and definitions apply in implementing the due diligence procedures described above:

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