ACTIVESHARES® ETFs AP REPRESENTATIVE CONFIDENTIALITY & UNDERTAKINGS AGREEMENTUndertakings Agreement • February 19th, 2021 • Alger ETF Trust • New York
This AP Representative Confidentiality & Undertakings Agreement (this “Agreement”) is entered into by and between ________________ (the “AP Representative”) and The Alger ETF Trust (the “Trust”), an open-end management investment company registered with the Securities and Exchange Commission (the “SEC”) under the Investment Company Act of 1940, as amended (the “1940 Act”), on behalf of each of its separate series (each, a “Fund” and collectively, the “Funds”), which are listed on Exhibit A hereto, as such Exhibit may be amended by the Trust, from time to time, upon notice to the AP Representative, to reflect newly-launched or liquidated, renamed, or merged Funds. Capitalized terms used herein and not otherwise defined have the meanings assigned to them in Section 6 of this Agreement.
ACTIVESHARES® ETFs AP REPRESENTATIVE CONFIDENTIALITY & UNDERTAKINGS AGREEMENTUndertakings Agreement • February 19th, 2021 • Alger ETF Trust • New York
This AP Representative Confidentiality & Undertakings Agreement (this “Agreement”) is entered into by and among (the “AP Representative”), (the “Clearing Broker”), as clearing broker for the AP Representative, and The Alger ETF Trust (the “Trust”), an open-end management investment company registered with the Securities and Exchange Commission (the “SEC”) under the Investment Company Act of 1940, as amended (the “1940 Act”), on behalf of each of its separate series (each, a “Fund” and collectively, the “Funds”), which are listed on Exhibit A hereto, as such Exhibit may be amended by the Trust, from time to time, upon notice to the AP Representative and the Clearing Broker, to reflect newly-launched or liquidated, renamed, or merged Funds. Capitalized terms used herein and not otherwise defined have the meanings assigned to them in Section 6 of this Agreement.
ACTIVESHARES® ETFs AP REPRESENTATIVE CONFIDENTIALITY & UNDERTAKINGS AGREEMENTUndertakings Agreement • December 30th, 2021 • DoubleLine ETF Trust • New York
This AP Representative Confidentiality Agreement (this “Agreement”) is entered into by and between (the “AP Representative”), a broker-dealer registered with the Securities and Exchange Commission (“SEC”) under the Securities Exchange Act of 1934, as amended (the “1934 Act”), and a member in good standing of the Financial Industry Regulatory Authority, Inc. (“FINRA”), and the (the “Trust”), an open-end management investment company registered with the SEC under the Investment Company Act of 1940, as amended (the “1940 Act”), on behalf of each of its separate series (each, a “Fund” and collectively, the “Funds”). Capitalized terms used herein and not otherwise defined have the meaning assigned to them in Section 6 of this Agreement.
NORTHERN LIGHTS FUND TRUST IV ETFs AP REPRESENTATIVE CONFIDENTIALITY & UNDERTAKINGS AGREEMENTUndertakings Agreement • October 23rd, 2024 • Northern Lights Fund Trust IV • New York
This AP Representative Confidentiality Agreement (this "Agreement") is entered into by and among Cantor Fitzgerald & Co. ("AP Representative") and Northern Lights Fund Trust IV (the "Trust"), an open-end management investment company registered with the Securities and Exchange Commission (the "SEC") under the Investment Company Act of 1940, as amended (the "1940 Act"), on behalf of each of its separate series (each, a "Fund" and collectively, the "Funds") which are listed on Exhibit A hereto, as amended by the Trust, from time to time, to reflect newly- launched Funds. Capitalized terms used herein and not otherwise defined have the meaning assigned to them in Section 6 of this Agreement.
