Common use of Selection of Brokers and Dealers Clause in Contracts

Selection of Brokers and Dealers. To the extent permitted by the policy guidelines set forth in the Fund's current registration statement, in the selection of brokers and dealers to execute portfolio transactions, the Subadviser is authorized to consider not only the available prices and rates of brokerage commissions, but also other relevant factors, which may include, without limitation: the execution capabilities of the brokers and dealers; the research, custody, and other services provided by the brokers and dealers that the Subadviser believes will enhance the Subadviser's general portfolio management capabilities; the size of the transaction; the difficulty of execution; the operational facilities of these brokers and dealers; the risk to this broker or dealer of positioning a block of securities; and the overall quality of brokerage and research services provided by these brokers and dealers. In connection with the foregoing, the Subadviser is specifically authorized to pay those brokers and dealers who provide brokerage and research services to the Subadviser, a higher commission than that charged by other brokers and dealers if the Subadviser determines in good faith that the amount of the commission is reasonable in relation to the value of these services in terms of either the particular transaction or in terms of the Subadviser's overall responsibilities with respect to the Portfolio Segment and to any other client accounts or portfolios that the Subadviser advises. The execution of these transactions shall not be considered to represent an unlawful breach of any duty created by this Agreement or otherwise.

Appears in 13 contracts

Samples: Investment Subadvisory Agreement (Market Street Fund Inc), Investment Subadvisory Agreement (Market Street Fund Inc), Investment Subadvisory Agreement (Market Street Fund Inc)

AutoNDA by SimpleDocs

Selection of Brokers and Dealers. To the extent permitted by the policy guidelines set forth in the FundTrust's current registration statementProspectus and SAI, in the selection of brokers and dealers to execute portfolio transactions, the Subadviser is authorized to consider not only the available prices and rates of brokerage commissions, but also other relevant factors, which may include, without limitation: the execution capabilities of the brokers and dealers; the research, custody, and other services provided by the brokers and dealers that the Subadviser believes will enhance the Subadviser's its general portfolio management capabilities; the size of the transaction; the difficulty of execution; the operational facilities of these brokers and dealers; the risk to this a broker or dealer of positioning a block of securities; and the overall quality of brokerage and research services provided by these the brokers and dealers. In connection with the foregoing, the Subadviser is specifically authorized to pay those brokers and dealers who provide brokerage and research services to the Subadviser, Subadviser a higher commission than that charged by other brokers and dealers if the Subadviser determines in good faith that the amount of the commission is reasonable in relation to the value of these the services in terms of either the particular transaction or in terms of the Subadviser's overall responsibilities with respect to the Portfolio Segment and to any other client accounts or portfolios that the Subadviser advises. The execution of these such transactions shall not be considered to represent an unlawful breach of any duty created by this Agreement or otherwise.

Appears in 13 contracts

Samples: Investment Subadvisory Agreement (Travelers Series Trust), Investment Subadvisory Agreement (Travelers Series Trust), Investment Subadvisory Agreement (Travelers Series Trust)

Selection of Brokers and Dealers. To the extent permitted by the policy guidelines set forth in the FundTrust's current registration statementProspectus and SAI, in the selection of brokers and dealers to execute portfolio transactions, the Subadviser TAMIC is authorized to consider not only the available prices and rates of brokerage commissions, but also other relevant factors, which may include, without limitation: the execution capabilities of the brokers and dealers; the research, custody, and other services provided by the brokers and dealers that the Subadviser TAMIC believes will enhance the Subadviser's its general portfolio management capabilities; the size of the transaction; the difficulty of execution; the operational facilities of these brokers and dealers; the risk to this a broker or dealer of positioning a block of securities; and the overall quality of brokerage and research services provided by these the brokers and dealers. In connection with the foregoing, the Subadviser TAMIC is specifically authorized to pay those brokers and dealers who provide brokerage and research services to the Subadviser, TAMIC a higher commission than that charged by other brokers and dealers if the Subadviser TAMIC determines in good faith that the amount of the commission is reasonable in relation to the value of these the services in terms of either the particular transaction or in terms of the SubadviserTAMIC's overall responsibilities with respect to the Portfolio Segment and to any other client accounts or portfolios that the Subadviser TAMIC advises. The execution of these such transactions shall not be considered to represent an unlawful breach of any duty created by this Agreement or otherwise.

Appears in 11 contracts

Samples: Investment Advisory Agreement (Travelers Series Trust), Investment Advisory Agreement (Travelers Series Trust), Investment Advisory Agreement (Travelers Series Trust)

Selection of Brokers and Dealers. To the extent permitted by the policy guidelines set forth out in the each Fund's ’s current registration statementProspectus or SAI, in connection with the selection of brokers and dealers to execute portfolio transactions, the Subadviser Adviser is authorized to consider not only the available prices and rates of brokerage commissions, but also other relevant factors, which may include, without limitation: the execution capabilities of the brokers and dealers; the research, custody, and other services provided by the brokers and dealers that the Subadviser Adviser believes will enhance the Subadviser's its general portfolio management capabilities; the size of the transaction; the difficulty of execution; the operational facilities of these brokers and dealers; the risk to this a broker or dealer of positioning a block of securities; and the overall quality of brokerage and research services provided by these the brokers and dealers. In connection with the foregoing, the Subadviser Adviser is specifically authorized to pay those brokers and dealers who provide brokerage and research services to the Subadviser, Adviser a higher commission than that charged by other brokers and dealers if the Subadviser Adviser determines in good faith that the amount of the commission is reasonable in relation to the value of these the services in terms of either the particular transaction or in terms of the Subadviser's Adviser’s overall responsibilities with respect to the Portfolio Segment Funds and to any other client accounts or portfolios that the Subadviser Adviser advises. The execution of these such transactions shall will not be considered to represent an unlawful breach of any duty created by this Agreement or otherwise.

Appears in 11 contracts

Samples: Series Trust Investment Advisory Agreement (Elevation Series Trust), Investment Advisory Agreement (Elevation Series Trust), Investment Advisory Agreement (ETF Series Solutions)

Selection of Brokers and Dealers. To the extent permitted by the policy guidelines set forth out in the Fund's current registration statementProspectus or SAI of the Trust in respect of the Series, in connection with the selection of brokers and dealers to execute portfolio transactions, the Subadviser Adviser is authorized to consider not only the available prices and rates of brokerage commissions, but also other relevant factors, which may include, without limitation: the execution capabilities of the brokers and dealers; the research, custody, and other services provided by the brokers and dealers that the Subadviser Adviser believes will enhance the Subadviser's its general portfolio management capabilities; the size of the transaction; the difficulty of execution; the operational facilities of these brokers and dealers; the risk to this a broker or dealer of positioning a block of securities; and the overall quality of brokerage and research services provided by these the brokers and dealers. In connection with the foregoing, the Subadviser Adviser is specifically authorized to pay those brokers and dealers who provide brokerage and research services to the Subadviser, Adviser a higher commission than that charged by other brokers and dealers if the Subadviser Adviser determines in good faith that the amount of the commission is reasonable in relation to the value of these the services in terms of either the particular transaction or in terms of the Subadviser's Adviser’s overall responsibilities with respect to the Portfolio Segment Fund and to any other client accounts or portfolios that the Subadviser Adviser advises. The execution of these such transactions shall will not be considered to represent an unlawful breach of any duty created by this Agreement or otherwise.

Appears in 6 contracts

Samples: Investment Advisory Agreement (iShares U.S. ETF Trust), Investment Advisory Agreement (iShares U.S. ETF Trust), Investment Advisory Agreement (iShares U.S. ETF Trust)

Selection of Brokers and Dealers. To the extent permitted by the policy guidelines set forth out in the Fund's ’s current registration statementProspectus, in the selection of brokers and dealers to execute portfolio transactions, the Subadviser is authorized to consider not only the available prices and rates of brokerage commissions, but also other relevant factors, which may include, without limitation: the execution capabilities of the brokers and dealers; the research, custody, and other services provided by the brokers and dealers that the Subadviser believes will enhance the Subadviser's its general portfolio management capabilities; the size of the transaction; the difficulty of execution; the operational facilities of these brokers and dealers; the risk to this a broker or dealer of positioning a block of securities; and the overall quality of brokerage and research services provided by these the brokers and dealers. In connection with the foregoing, the Subadviser is specifically authorized to pay those brokers and dealers who provide brokerage and research services to the Subadviser, Subadviser a higher commission than that charged by other brokers and dealers if the Subadviser determines in good faith that the amount of the commission is reasonable in relation to the value of these the services in terms of either the particular transaction or in terms of the Subadviser's ’s overall responsibilities with respect to the Portfolio Segment Fund and to any other client accounts or portfolios that the Subadviser advises. The execution of these such transactions shall will not be considered to represent an unlawful breach of any duty created by this Agreement or otherwise.

Appears in 6 contracts

Samples: Subadvisory Agreement (Small Cap Premium & Dividend Income Fund, Inc.), Investment Subadvisory Agreement (Dow 30 Premium & Dividend Income Fund Inc.), Investment Subadvisory Agreement (S&P 500 GEARED Fund Inc.)

Selection of Brokers and Dealers. To the extent permitted by the policy guidelines set forth out in the Fund's ’s current registration statementProspectus, in connection with the selection of brokers and dealers to execute portfolio transactions, the Subadviser is authorized to consider not only the available prices and rates of brokerage commissions, but also other relevant factors, which may include, without limitation: the execution capabilities of the brokers and dealers; the research, custody, and other services provided by the brokers and dealers that the Subadviser believes will enhance the Subadviser's its general portfolio management capabilities; the size of the transaction; the difficulty of execution; the operational facilities of these such brokers and dealers; the risk to this a broker or dealer of positioning a block of securities; and the overall quality of brokerage and research services provided by these the brokers and dealers. In connection with the foregoing, the Subadviser is specifically authorized to pay those brokers and dealers who provide brokerage and research services to the Subadviser, Subadviser a higher commission than that charged by other brokers and dealers if the Subadviser determines in good faith that the amount of the commission is reasonable in relation to the value of these the services in terms of either the particular transaction or in terms of the Subadviser's ’s overall responsibilities with respect to the Portfolio Segment Fund and to any other client accounts or portfolios that the Subadviser advises. The execution of these such transactions shall will not be considered to represent an unlawful breach of any duty created by this Agreement or otherwise.

Appears in 4 contracts

Samples: Investment Subadvisory Agreement (Dow 30 Enhanced Premium & Income Fund Inc.), Investment Subadvisory Agreement (NASDAQ Premium Income & Growth Fund Inc.), Nuveen Asset Management (Global Income & Currency Fund Inc.)

Selection of Brokers and Dealers. To the extent permitted by the policy guidelines set forth in the Fund's current registration statement, in the selection of brokers and dealers to execute portfolio transactions, the Subadviser is authorized to consider not only the available prices and rates of brokerage commissions, but also other relevant factors, which may include, without limitation: the execution capabilities of the brokers and dealers; the research, custody, and other services provided by the brokers and dealers that the Subadviser believes will enhance the Subadviser's general portfolio management capabilities; the size of the transaction; the difficulty of execution; the operational facilities of these brokers and dealers; the risk to this broker or dealer of positioning a block of securities; and the overall quality of brokerage and research services provided by these brokers and dealers. In connection with the foregoing, the Subadviser is specifically authorized to pay those brokers and dealers who provide brokerage and research services to the Subadviser, a higher commission than that charged by other brokers and dealers if the Subadviser determines in good faith that the amount of the commission is reasonable in relation to the value of these services in terms of either the particular transaction or in terms of the Subadviser's overall responsibilities with respect to the Portfolio Segment and to any other client accounts or portfolios that the Subadviser advises. The execution of these transactions shall not be considered to represent an unlawful breach of any duty created by this Agreement or otherwise.. 3 (c)

Appears in 4 contracts

Samples: Investment Subadvisory Agreement (Market Street Fund Inc), Investment Subadvisory Agreement (Market Street Fund Inc), Investment Subadvisory Agreement (Market Street Fund Inc)

Selection of Brokers and Dealers. To Subject to the extent permitted by requirements of Section 28(e) of the policy guidelines set forth in the Fund's current registration statement1934 Act, in the selection of brokers and dealers to execute portfolio transactions, the Subadviser is authorized may be permitted to consider not only the available prices and rates of brokerage commissions/spreads, but also other relevant factors, which may could include, without limitation: the execution capabilities of the brokers and dealers; the research, custody, research and other services provided by the brokers and dealers that the Subadviser believes will enhance the Subadviser's its general portfolio management capabilities; the size of the transaction; the difficulty of execution; the operational facilities of these brokers and dealers; the risk to this a broker or dealer of positioning a block of securities; and the overall quality of brokerage and research services provided by these the brokers and dealers. In connection with the foregoing, the Subadviser is specifically authorized to may pay those brokers and dealers who provide brokerage and research services to the Subadviser, Subadviser a higher commission than that charged by other brokers and dealers if the Subadviser determines in good faith that the amount of the commission is reasonable in relation to the value of these the brokerage and research services provided by the broker or dealer in terms of either the particular transaction or in terms of the Subadviser's ’s overall responsibilities with respect to the Portfolio Segment Fund and to any other client accounts or portfolios that the Subadviser advises. The execution of these such transactions shall pursuant to this section 5(b) would not be considered to represent an unlawful breach of any duty created by this Agreement or otherwise.

Appears in 3 contracts

Samples: Subadvisory Agreement (FDP Series, Inc.), Sub Advisory Agreement Subadvisory Agreement (FDP Series, Inc.), Subadvisory Agreement (FDP Series, Inc.)

Selection of Brokers and Dealers. To Subject to the extent permitted by requirements of Section 28(e) of the policy guidelines set forth in the Fund's current registration statement1934 Act, in the selection of brokers and dealers to execute portfolio transactions, the Subadviser is authorized permitted to consider not only the available prices and rates of brokerage commissions/spreads, but also other relevant factors, which may could include, without limitation: the execution capabilities of the brokers and dealers; the research, custody, research and other services provided by the brokers and dealers that the Subadviser believes will enhance the Subadviser's its general portfolio management capabilities; the size of the transaction; the difficulty of execution; the operational facilities of these brokers and dealers; the risk to this a broker or dealer of positioning a block of securities; and the overall quality of brokerage and research services provided by these the brokers and dealers. In connection with the foregoing, the Subadviser is specifically authorized to may pay those brokers and dealers who provide brokerage and research services to the Subadviser, Subadviser a higher commission than that charged by other brokers and dealers if the Subadviser determines in good faith that the amount of the commission is reasonable in relation to the value of these the brokerage and research services provided by the broker or dealer in terms of either the particular transaction or in terms of the Subadviser's ’s overall responsibilities with respect to the Portfolio Segment Fund and to any other client accounts or portfolios that the Subadviser advises. The execution of these such transactions shall pursuant to this section 5(b) would not be considered to represent an unlawful breach of any duty created by this Agreement or otherwise.

Appears in 3 contracts

Samples: Subadvisory Agreement (FDP Series, Inc.), Subadvisory Agreement (FDP Series, Inc.), Subadvisory Agreement (FDP Series, Inc.)

AutoNDA by SimpleDocs

Selection of Brokers and Dealers. To the extent permitted by the policy guidelines set forth in the Fund's current registration statement, in the selection of brokers and dealers to execute portfolio transactions, the Subadviser Adviser is authorized to consider not only the available prices and rates of brokerage commissions, commissions but also other relevant factors, which may include, without limitation: the execution capabilities of the brokers and dealers; the research, custody, and other services provided by the brokers and dealers that the Subadviser Adviser believes will enhance the SubadviserAdviser's general portfolio management capabilities; the size of the transaction; the difficulty of execution; the operational facilities of these brokers and dealers; the risk to this broker or dealer of positioning a block of securities; and the overall quality of brokerage and research services provided by these brokers and dealers. In connection with the foregoing, the Subadviser Adviser is specifically authorized to pay those brokers and dealers who provide brokerage and research services to the SubadviserAdviser, a higher commission than that charged by other brokers and dealers if the Subadviser Adviser determines in good faith that the amount of the commission is reasonable in relation to the value of these services in terms of either the particular transaction or in terms of the SubadviserAdviser's overall responsibilities with respect to the Portfolio Segment and to any other client accounts or portfolios that the Subadviser Adviser advises. The execution of these transactions shall not be considered to represent an unlawful breach of any duty created by this Agreement or otherwise.

Appears in 2 contracts

Samples: Interim Investment Advisory Agreement (Market Street Fund Inc), Investment Advisory Agreement (Market Street Fund Inc)

Selection of Brokers and Dealers. To the extent permitted by the policy ________________________________ guidelines set forth in the FundTrust's current registration statementProspectus and SAI, in the selection of brokers and dealers to execute portfolio transactions, the Subadviser is authorized to consider not only the available prices and rates of brokerage commissions, but also other relevant factors, which may include, without limitation: the execution capabilities of the brokers and dealers; the research, custody, and other services provided by the brokers and dealers that the Subadviser believes will enhance the Subadviser's its general portfolio management capabilities; the size of the transaction; the difficulty of execution; the operational facilities of these brokers and dealers; the risk to this a broker or dealer of positioning a block of securities; and the overall quality of brokerage and research services provided by these the brokers and dealers. In connection with the foregoing, the Subadviser is specifically authorized to pay those brokers and dealers who provide brokerage and research services to the Subadviser, Subadviser a higher commission than that charged by other brokers and dealers if the Subadviser determines in good faith that the amount of the commission is reasonable in relation to the value of these the services in terms of either the particular transaction or in terms of the Subadviser's overall responsibilities with respect to the Portfolio Segment and to any other client accounts or portfolios that the Subadviser advises. The execution of these such transactions shall not be considered to represent an unlawful breach of any duty created by this Agreement or otherwise.

Appears in 1 contract

Samples: Investment Subadvisory Agreement (Travelers Series Trust)

Selection of Brokers and Dealers. To Subject to the extent permitted by requirements of -------------------------------- Section 28(e) of the policy guidelines set forth in the Fund's current registration statement1934 Act, in the selection of brokers and dealers to execute portfolio transactions, the Subadviser is authorized permitted to consider not only the available prices and rates of brokerage commissions/spreads, but also other relevant factors, which may could include, without limitation: the execution capabilities of the brokers and dealers; the research, custody, research and other services provided by the brokers and dealers that the Subadviser believes will enhance the Subadviser's its general portfolio management capabilities; the size of the transaction; the difficulty of execution; the operational facilities of these brokers and dealers; the risk to this a broker or dealer of positioning a block of securities; and the overall quality of brokerage and research services provided by these the brokers and dealers. In connection with the foregoing, the Subadviser is specifically authorized to may pay those brokers and dealers who provide brokerage and research services to the Subadviser, Subadviser a higher commission than that charged by other brokers and dealers if the Subadviser determines in good faith that the amount of the commission is reasonable in relation to the value of these the brokerage and research services provided by the broker or dealer in terms of either the particular transaction or in terms of the Subadviser's overall responsibilities with respect to the Portfolio Segment Fund and to any other client accounts or portfolios that the Subadviser advises. The execution of these such transactions shall pursuant to this section 5(b) would not be considered to represent an unlawful breach of any duty created by this Agreement or otherwise.

Appears in 1 contract

Samples: FDP Series (FDP Series, Inc.)

Selection of Brokers and Dealers. To the extent permitted by the policy guidelines set forth in the Fund's current registration statement, in the selection of brokers and dealers to execute portfolio transactions, the Subadviser Adviser is authorized to consider not only the available prices and rates of brokerage commissions, commissions but also other relevant factors, which may include, without limitation: the execution capabilities of the brokers and dealers; the research, custody, and other services provided by the brokers and dealers that the Subadviser Adviser believes will enhance the SubadviserAdviser's general portfolio management capabilities; the size of the transaction; the difficulty of execution; the operational facilities of these brokers and dealers; 3 the risk to this broker or dealer of positioning a block of securities; and the overall quality of brokerage and research services provided by these brokers and dealers. In connection with the foregoing, the Subadviser Adviser is specifically authorized to pay those brokers and dealers who provide brokerage and research services to the SubadviserAdviser, a higher commission than that charged by other brokers and dealers if the Subadviser Adviser determines in good faith that the amount of the commission is reasonable in relation to the value of these services in terms of either the particular transaction or in terms of the SubadviserAdviser's overall responsibilities with respect to the Portfolio Segment and to any other client accounts or portfolios that the Subadviser Adviser advises. The execution of these transactions shall not be considered to represent an unlawful breach of any duty created by this Agreement or otherwise.

Appears in 1 contract

Samples: Investment Advisory Agreement (Market Street Fund Inc)

Selection of Brokers and Dealers. To the extent permitted by the policy guidelines set forth in the Fund's current registration statement, in the selection of brokers and dealers to execute portfolio transactions, the Subadviser is authorized to consider not only the available prices and rates of brokerage commissions, but also other relevant factors, which may include, without limitation: the execution capabilities of the brokers and dealers; the research, custody, and other services provided by the brokers and dealers that the Subadviser believes will enhance the Subadviser's general portfolio management capabilities; the size of the transaction; the difficulty of execution; the operational facilities of these brokers and dealers; the risk to this broker or dealer of positioning a block of securities; and the overall quality of brokerage and research services provided by these brokers and dealers. In connection with the foregoing, the Subadviser is specifically authorized to pay those brokers and dealers who provide brokerage and research services to the Subadviser, a higher commission than that charged by other brokers and dealers if the Subadviser determines in good faith that the amount of the commission is reasonable in relation to the value of these services in terms of either the particular transaction or in terms of the Subadviser's overall responsibilities with respect to the Portfolio Segment and to any other client accounts or portfolios that the Subadviser advises. The execution of these transactions shall not be considered to represent an unlawful breach of any duty created by this Agreement or otherwise.these

Appears in 1 contract

Samples: Investment Subadvisory Agreement (Market Street Fund Inc)

Selection of Brokers and Dealers. To the extent permitted by the policy ________________________________ guidelines set forth in the FundTrust's current registration statementProspectus and SAI, in the selection of brokers and dealers to execute portfolio transactions, the Subadviser TAMIC is authorized to consider not only the available prices and rates of brokerage commissions, but also other relevant factors, which may include, without limitation: the execution capabilities of the brokers and dealers; the research, custody, and other services provided by the brokers and dealers that the Subadviser TAMIC believes will enhance the Subadviser's its general portfolio management capabilities; the size of the transaction; the difficulty of execution; the operational facilities of these brokers and dealers; the risk to this a broker or dealer of positioning a block of securities; and the overall quality of brokerage and research services provided by these the brokers and dealers. In connection with the foregoing, the Subadviser TAMIC is specifically authorized to pay those brokers and dealers who provide brokerage and research services to the Subadviser, TAMIC a higher commission than that charged by other brokers and dealers if the Subadviser TAMIC determines in good faith that the amount of the commission is reasonable in relation to the value of these the services in terms of either the particular transaction or in terms of the SubadviserTAMIC's overall responsibilities with respect to the Portfolio Segment and to any other client accounts or portfolios that the Subadviser TAMIC advises. The execution of these such transactions shall not be considered to represent an unlawful breach of any duty created by this Agreement or otherwise.

Appears in 1 contract

Samples: Investment Advisory Agreement (Travelers Series Trust)

Time is Money Join Law Insider Premium to draft better contracts faster.