Shareholder Information and SEC Rule. 22c-2. If trading as an Intermediary (a broker, dealer, bank or other entity that holds securities of record issued by the Funds in nominee name; and in the case of a participant-directed employee benefit plan that owns securities issued by the Funds; a retirement plan administrator under ERISA or any entity that maintains the plan’s participant records) you hereby agree as follows:
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Samples: Sales Agreement (Virtus Alternative Solutions Trust), Sales Agreement (Virtus Alternative Solutions Trust), Sales Agreement (Virtus Equity Trust)
Shareholder Information and SEC Rule. 22c-2. If trading as an Intermediary intermediary (an “Intermediary” for purposes of this Section 16, meaning a broker, dealer, bank or other entity that holds securities of record issued by the Funds in an Account registered in nominee name, in an omnibus Account, in an Account registered in your name for the benefit of your customers; and in the case of a participant-directed employee benefit plan that owns securities issued by the Funds; , a retirement plan administrator under ERISA or any entity that maintains the plan’s participant records) you hereby agree as follows:
Appears in 4 contracts
Samples: Sales Agreement (Virtus Alternative Solutions Trust), Sales Agreement (Virtus Asset Trust), Sales Agreement (Virtus Asset Trust)
Shareholder Information and SEC Rule. 22c-2. If trading as an Intermediary intermediary (an "Intermediary" for purposes of this Section 16, meaning a broker, dealer, bank or other entity that holds securities of record issued by the Funds in an Account registered in nominee name, in an omnibus Account, in an Account registered in your name for the benefit of your customers; and in the case of a participant-directed employee benefit plan that owns securities issued by the Funds; , a retirement plan administrator under ERISA or any entity that maintains the plan’s 's participant records) you hereby agree as follows:
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