Exhibit (h)(6)
Exhibit (h)(6)
Dear Financial Services Firm (“you” or
“Intermediary”),
As principal underwriter of the DWS Funds, we
(or a predecessor firm) or our affiliate have entered into a selling group or
other agreement or agreements (the "Agreement") with you to permit you, as
applicable, to sell, service, or facilitate trading in shares of the DWS Funds
(collectively, the "Shares").
This amendment to the Agreement is entered
into as of the date indicated in the signature block below, with an effective
date of October 16, 2007, or such earlier date as of which you begin providing
the Shareholder information described below, and includes the following
provisions:
1. Agreement to Provide Information. Intermediary agrees to provide the Fund, upon
written request, the taxpayer identification number (“TIN”), the Individual
Taxpayer Identification Number (“ITIN”), or other government-issued identifier
(“GII”), if known, of any or all Shareholder(s) of the account and the amount,
date, name or other identifier of any investment professional(s) associated with
the Shareholder(s) or account (if known), and transaction type (purchase,
redemption, transfer, or exchange) of every purchase, redemption, transfer, or
exchange of Shares held through each account maintained by the Intermediary
during the period covered by the request.
2. Period Covered by Request. Requests must set forth a specific period, not
to exceed 90 days from the date of the request, for which transaction
information is sought. The Fund may request transaction information older than
90 days from the date of the request as it deems necessary to investigate
compliance with policies established by the Fund for the purpose of eliminating
or reducing any dilution of the value of the outstanding shares issued by the
Fund.
3. Form and Timing of Response.
(a) Intermediary agrees to provide, promptly
upon request of the Fund or its designee, the requested information specified in
paragraph 1 above. If requested by the Fund or its designee, Intermediary agrees
to use best efforts to determine promptly whether any specific person about whom
it has received the identification and transaction information specified in
paragraph 1 is itself a financial intermediary (“indirect intermediary”) and,
upon further request of the Fund or its designee, promptly either (i) provide
(or arrange to have provided) the information
set forth in paragraph 1 for those shareholders who hold an account with an
indirect intermediary or (ii) restrict or prohibit the indirect intermediary
from purchasing, in nominee name on behalf of other persons, securities issued
by the Fund.
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(b)
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Responses required by this paragraph
must be communicated in writing and in a format mutually agreed upon by
the parties.
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(c)
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To
the extent practicable, the format for any transaction information
provided to the Fund should be consistent with the NSCC Standardized Data
Reporting Format
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4. Limitations on Use of Information.
The Fund agrees not to use the information received for marketing or any
other similar purpose without the prior written consent of the
Intermediary.
5. Agreement to Restrict Trading.
Intermediary agrees to execute written
instructions
from the Fund to restrict or prohibit further purchases or exchanges of
Shares
by a Shareholder that has been identified by the Fund as having engaged in
transactions
of the Fund’s Shares (directly or indirectly through the Intermediary’s account)
that violate policies established or utilized by the Fund for the purpose of
eliminating or reducing any dilution of the value of the outstanding Shares
issued by the Fund.
6. Form of Instructions.
Instructions to restrict or prohibit trading must include the TIN, ITIN,
or GII, if known, and the specific restriction(s) to be executed. If the TIN,
ITIN, or GII is not known, the instructions must include an equivalent
identifying number of the Shareholder(s) or account(s) or other agreed upon
information to which the instruction relates.
7. Timing of Response.
Intermediary agrees to execute instructions from the Fund to restrict or
prohibit trading as soon as reasonably practicable, but not later than five
business days after receipt of the instructions by the Intermediary.
8. Confirmation by Intermediary.
Intermediary must provide written confirmation to the Fund that
instructions from the Fund to restrict or prohibit trading have been executed.
Intermediary agrees to provide confirmation as soon as reasonably practicable,
but not later than ten business days after the instructions have been
executed.
9. Definitions. For purposes
of this amendment:
9.1 The term “Fund” includes
the fund’s principal underwriter and transfer agent. The term does not include
any “excepted funds” as defined in SEC Rule 22c-2(b) under the Investment
Company Act of 1940.*
9.2 The term “Shares” means
the interests of Shareholders corresponding to the redeemable securities of
record issued by the Fund under the Investment Company Act of 1940 that are held
by the Intermediary.
9.3 Except as otherwise
provided in this paragraph 9.3, the term “Shareholder” means the beneficial
owner of Shares, whether the Shares are held directly or by the Intermediary in
nominee name. If you are a retirement plan recordkeeper, the term “Shareholder”
means each retirement plan participant notwithstanding that the retirement plan
may be deemed to be the beneficial owner of Shares. If you are an insurance
company, the term “Shareholder” means the holder of interests in a variable
annuity or variable life insurance contract issued by the Intermediary.
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9.4
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The
term “written” includes electronic writings and facsimile
transmissions.
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9.5
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The
term “Intermediary” shall mean a “financial institution” as defined in SEC
Rule 22c-2.
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9.6
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The
term “purchase” does not include the automatic reinvestment of
dividends.
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9.7
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The
term “promptly” as used in paragraph 3(a) shall mean as soon as
practicable but in no event later than ten business days from the
Intermediary’s receipt of the request for information from the Fund or its
designee.
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DWS XXXXXXX
DISTRIBUTORS, INC.
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By:
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______________________________
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Name:
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Title:
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Chief
Executive Officer
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FIRM:
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__________________________
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By:
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__________________________
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Name:
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__________________________
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Title:
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__________________________
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Date:
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__________________________
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* As defined
in SEC Rule 22c-2(b), the term “excepted fund” means any: (1) money market fund;
(2) fund that issues securities that are listed on a national exchange; and (3)
fund that affirmatively permits short-term trading of its securities, if its
prospectus clearly and prominently discloses that the fund permits short-term
trading of its securities and that such trading may result in additional costs
for the fund.
