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 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
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

Related to Rules 17a

  • 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.

  • Rules and Procedures Such arbitration shall be administered by JAMS/Endispute, Inc., a Delaware corporation and national dispute resolution company (“JAMS”), pursuant to (i) the JAMS Streamlined Arbitration Rules and Procedures, if the amount in controversy is $250,000 or less, or (ii) the JAMS Comprehensive Arbitration Rules and Procedures, if the amount in controversy exceeds $250,000 (each, as applicable, the “Rules”). The making, validity, construction, and interpretation of this Section 11.9, and all procedural aspects of the arbitration conducted pursuant hereto, shall be decided by the arbitrator(s). For purposes of this Section 11.9, “amount in controversy” means the stated amount of the claim, not including interest or attorneys’ fees, plus the stated amount of any counterclaim, not including interest or attorneys’ fees. If the claim or counterclaim seeks a form of relief other than damages, such as injunctive or declaratory relief, it shall be treated as if the amount in controversy exceeds $250,000, unless all parties to the Dispute otherwise agree.

  • General Rules Ownership of Restricted Shares shall not vest in the Recipient, and shall be subject to forfeiture until the conditions of Section 2(b) and (c) or Section 4 are fully satisfied. For purposes of this Agreement, the following concepts shall be defined as follows: (i) the lapse of restrictions on the Recipient's rights with respect to the Restricted Shares granted hereunder shall be referred to as "Vesting"; (ii) the period between the Grant Date and the date of Vesting shall be referred to as the "Vesting Period"; and (iii) the date Vesting occurs shall be referred to as the "Vesting Date."

  • 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.

  • 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.

  • Rules Tenant agrees for itself and for its subtenants, employees, agents, and invitees to comply with the rules and regulations listed on Exhibit C-2 attached hereto and with all reasonable modifications and additions thereto which Landlord may make from time to time.

  • Market Regulations The Company shall notify the Commission, the Principal Market and applicable state authorities, in accordance with their requirements, of the transactions contemplated by this Agreement, and shall take all other necessary action and proceedings as may be required and permitted by applicable law, rule and regulation, for the legal and valid issuance of the Securities to the Subscribers and promptly provide copies thereof to Subscriber.

  • Applicable Rules For purposes of determining whether any of the Covered Payments will be subject to the Excise Tax and the amount of such Excise Tax,

  • Compliance with Government Rules and Regulations PFPC undertakes to comply with all applicable requirements of the 1933 Act, the 1934 Act, the 1940 Act, and the CEA, and any laws, rules and regulations of governmental authorities having jurisdiction with respect to all duties to be performed by PFPC hereunder. Except as specifically set forth herein, PFPC assumes no responsibility for such compliance by the Fund.

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