Account Options. (a) Broker/Dealer may appoint the Transfer Agent as Broker/Dealer’s agent to execute customers’ transactions in a Fund’s shares sold to Broker/Dealer by ADI in accordance with the terms and provisions of any account, program, plan, or service established or used by Broker/Dealer’s customers and to confirm each such transaction to Broker/Dealer’s customers on Broker/Dealer’s behalf, and at the time of the transaction, Broker/Dealer guarantees the legal capacity of its customers so transacting in such Fund shares and any co-owners of such Fund shares.
(b) Unless otherwise instructed by ADI or the Transfer Agent, Broker/Dealer may instruct the Transfer Agent to register shares purchased in Broker/Dealer’s name and account as nominee for Broker/Dealer’s customers, in which event all Prospectuses, proxy statements, periodic reports, and other printed material will be sent to Broker/Dealer, and all confirmations and other communications to shareholders will be transmitted to Broker/Dealer. Broker/Dealer shall be responsible for forwarding such printed material, confirmations, and communications, or the information contained therein, to all customers for whom Broker/Dealer holds such shares as nominee. However, the Transfer Agent or the Company shall be responsible for the reasonable costs associated with Broker/Dealer forwarding such printed material, confirmations, and communications and shall reimburse Broker/Dealer in full for such costs. Broker/Dealer shall also be responsible for complying with all reporting and tax withholding requirements with respect to the customers for whose account Broker/Dealer is holding such shares. With respect to customers other than such customers, Broker/Dealer shall provide ADI with all information (including, without limitation, certification of TINs and back-up withholding instructions) necessary or appropriate for ADI to comply with any legal and regulatory reporting requirements.
(c) Accounts opened or maintained pursuant to the networking system of NSCC will be governed by applicable NSCC rules and procedures, and any agreement or other arrangement with ADI relating to networking.
Account Options. (a) Servicer may appoint the Transfer Agent as Servicer’s agent to execute customers’ transactions in a Fund’s shares sold to Servicer by ADI in accordance with the terms and provisions of any account, program, plan, or service established or used by Servicer’s customers and to confirm each such transaction to Servicer’s customers on Servicer’s behalf, and at the time of the transaction, Servicer guarantees the legal capacity of its customers so transacting in such Fund shares and any co-owners of such Fund shares.
(b) Unless otherwise instructed by ADI or the Transfer Agent, Servicer may instruct the Transfer Agent to register shares purchased in Servicer’s name and account as nominee for Servicer’s customers, in which event all Prospectuses, proxy statements, periodic reports, and other printed material will be sent to Servicer, and all confirmations and other communications to shareholders will be transmitted to Servicer. Servicer shall be responsible for forwarding such printed material, confirmations, and communications, or the information contained therein, to all customers for whom Servicer holds such shares as nominee. However, the Transfer Agent or the Company shall be responsible for the reasonable costs associated with Servicer forwarding such printed material, confirmations, and communications and shall reimburse Servicer in full for such costs. Servicer shall also be responsible for complying with all reporting and tax withholding requirements with respect to the customers for whose account Servicer is holding such shares. With respect to customers other than such customers, Servicer shall provide ADI with all information (including, without limitation, certification of TINs and back-up withholding instructions) necessary or appropriate for ADI to comply with any legal and regulatory reporting requirements.
(c) Accounts opened or maintained pursuant to the networking system of NSCC will be governed by applicable NSCC rules and procedures, and any agreement or other arrangement with ADI relating to networking.
Account Options. (a) At the time of each transaction, Broker/Dealer guarantees the legal capacity of its customers so transacting in Interests and any co-owners of such Interests.
(b) Unless otherwise instructed by Salient Capital or the Administrator, Broker/Dealer may instruct the Administrator to register Interests purchased in Broker/Dealer name and account as nominee for Broker/Dealer’s customers, in which event all Offering Memoranda, proxy statements, periodic reports, and other printed material will be sent to Broker/Dealer, and all confirmations and other communications to shareholders will be transmitted to Broker/Dealer. Broker/Dealer shall be responsible for forwarding such printed material, confirmations, and communications, or the information contained therein, to all customers for whom Broker/Dealer holds such shares as nominee. However, the Fund shall be responsible for the reasonable costs associated with Broker/Dealer forwarding such printed material, confirmations, and communications and shall reimburse Broker/Dealer in full for such costs. Broker/Dealer shall also be responsible for complying with all reporting and tax withholding requirements with respect to the customers for whose account Broker/Dealer is holding such shares. With respect to customers other than such customers, Broker/Dealer shall provide Salient Capital with all information (including, without limitation, certification of TINs and back-up withholding instructions) necessary or appropriate for Salient Capital to comply with any legal and regulatory reporting requirements.
Account Options. (a) SRS may appoint the Transfer Agent as SRS’s agent to execute customers’ transactions in a Fund’s shares in accordance with the terms and provisions of any account, program, plan, or service established or used by SRS’s customers and to confirm each such transaction to SRS’s customers on SRS’s behalf, and at the time of the transaction, SRS guarantees the legal capacity of its customers so transacting in such Fund shares and any co-owners of such Fund shares.
(b) SRS may instruct the Transfer Agent to register shares purchased in SRS’s name and account as nominee for SRS’s customers, in which event all Prospectuses, proxy statements, periodic reports, and other materials will be sent to SRS, and all confirmations and other communications to shareholders, including, but not limited to, repurchase offer notifications, will be transmitted to SRS. SRS shall be responsible for forwarding such materials, confirmations, notifications and communications, or the information contained therein, to all customers for whom SRS holds such shares as nominee. However, the Adviser shall be responsible for the reasonable costs associated with SRS forwarding such materials, confirmations, notifications and communications and shall reimburse SRS in full for such costs. SRS shall also be responsible for complying with all reporting and tax withholding requirements with respect to the customers for whose account SRS is holding such shares. With respect to customers whose accounts are not held in SRS’s name as nominee, SRS shall record and maintain all information (including, without limitation, certification of TINs and/or SSNs and back-up withholding instructions) necessary or appropriate for SRS to comply with any legal and regulatory reporting requirements.
(c) To the extent applicable, accounts opened or maintained pursuant to the networking system of NSCC will be governed by applicable NSCC rules and procedures, and any agreement or other arrangement with SRS relating to networking.
Account Options. (a) At the time of each transaction, Sub-Placement Agent guarantees the legal capacity of its customers so transacting in Shares and any co-owners of such Shares.
(b) Unless otherwise instructed by Altegris or the Transfer Agent, Sub-Placement Agent may instruct the Transfer Agent to register Shares purchased in Sub-Placement Agent name and account as nominee for Sub-Placement Agent’s customers, in which event all Prospectuses, proxy statements, periodic reports, and other printed material will be sent to Sub-Placement Agent, and all confirmations and other communications to shareholders will be transmitted to Sub-Placement Agent. Sub-Placement Agent shall be responsible for forwarding such printed material, confirmations, and communications, or the information contained therein, to all customers for whom Sub-Placement Agent holds such shares as nominee. Sub-Placement Agent shall also be responsible for complying with all reporting and tax withholding requirements with respect to the customers for whose account Sub-Placement Agent is holding such shares. With respect to customers other than such customers, Sub-Placement Agent shall provide the Transfer Agent with all information (including, without limitation, certification of TINs and back-up withholding instructions) necessary or appropriate for the Transfer Agent to comply with any legal and regulatory reporting requirements.
Account Options. (a) You may appoint the transfer agent for the Funds as your agent to execute customers’ transactions in Fund shares sold to you by us in accordance with the terms and provisions of any account, program, plan or service established or used by your customers and to confirm each such transaction to your customers on your behalf, and at the time of the transaction you guarantee the legal capacity of your customers so transacting in such shares and any co-owners of such shares.
(b) You may instruct the Funds’ transfer agent to register shares purchased in your name and account as nominee for your customers, in which event all Prospectuses, proxy statements, periodic reports and other printed material will be sent to you and all confirmations and other communications to shareholders will be transmitted to you. You shall be responsible for forwarding such printed material, confirmations and communications, or the information contained therein, to all customers for whom you hold such shares as nominee. However, the Funds’ transfer agent, or the Funds shall be responsible for the reasonable costs associated with your forwarding such printed material, confirmations and communications and shall reimburse you in full for such costs. You shall also be responsible for complying with all reporting and tax withholding requirements with respect to the customers for whose account you are holding such shares. With respect to customers other than such customers, you shall provide us with all information (including, without limitation, certification of tax payer identification numbers and back-up withholding instructions) necessary or appropriate for us to comply with legal and regulatory reporting requirements.
(c) Accounts opened or maintained pursuant to the Networking system of the National Securities Clearing Corporation (“NSCC”) will be governed by applicable NSCC rules and procedures and any agreement or other arrangement with us relating to Networking.
Account Options. (a) You may appoint the transfer agent for the Funds as your agent to execute customers' transactions in Fund shares in accordance with the terms and provisions of any account, program, plan or service established or used by your customers and to confirm each such transaction to your customers on your behalf..
(b) You may instruct the transfer agent for the Funds to register shares purchased in your name and account as nominee for your customers, in which event all Prospectuses, proxy statements, periodic reports and other printed material will be sent to you and all confirmations and other communications to shareholders will be transmitted to you. You shall be responsible for forwarding such printed material, confirmations and communications, or the information contained therein, to all customers for whom you hold such shares as nominee. However, the transfer agent for the Funds or the Funds themselves shall be responsible for the reasonable costs associated with your forwarding such printed material, confirmations and communications and shall reimburse you in full for such costs. You shall also be responsible for complying with all reporting and tax withholding requirements with respect to the customers for whose account you are holding such shares. With respect to customers other than such customers, you shall provide us with all information (including, without limitation, certification of taxpayer identification numbers and back-up withholding instructions) necessary or appropriate for us to comply with legal and regulatory reporting requirements.
(c) Accounts opened or maintained pursuant to the Networking system of the National Securities Clearing Corporation ("NSCC") will be governed by applicable NSCC rules and procedures and any agreement or other arrangement with us relating to Networking.
Account Options. In entering into a current account agreement, the Client must select one of the offered current account options determining the amount of fees charged by the Bank there- under for domestic payments and debit card transactions and subsequently pay the fees stipulated in the List of Fees for the selected account option.
Account Options. The initial Indexed Account options available to you at the time this contract is issued are shown under the Contract Schedule. Not all account options may be available for allocation after contract issue. After the Crediting Period(s) of your initial allocations expire, you may allocate your Contract Value among the then available Guaranteed Interest Accounts and Indexed Accounts, subject to the Transfers provision of this contract. From time to time, we may make Guaranteed Interest Accounts available for allocation of your Contract Value. Each Guaranteed Interest Account has its own fixed interest rate guaranteed for its Crediting Period. Prior to the start of a Guaranteed Interest Account’s Crediting Period, we will set the fixed interest rate that applies for the Crediting Period. The interest rate for any Guaranteed Interest Account will be no less than the Guaranteed Minimum Interest Rate shown on the Contract Schedule. We may set different interest rates based on Contract Values. From time to time, we may make available various Indexed Accounts, and will make available at least one Indexed Account, for allocation of your Contract Value. The terms of each Indexed Account available at contract issue are set forth on the Contract Schedule and in the Indexed Crediting Method endorsement that applies to the Indexed Account. We may set different Indexed Account parameters based on Contract Values.
Account Options. (a) Servicer may appoint the Transfer Agent as Servicer’s agent to execute customers’ transactions in a Fund’s shares sold to Servicer by ADI in accordance with the terms and provisions of any account, program, plan, or service established or used by Servicer’s customers and to confirm each such transaction to Servicer’s customers on Servicer’s behalf, and at the time of the transaction, Servicer guarantees the legal capacity of its customers so transacting in such Fund shares and any co-owners of such Fund shares.
(b) Unless otherwise instructed by ADI or the Transfer Agent, Servicer may instruct the Transfer Agent to register shares purchased in Servicer’s name and account as nominee for Servicer’s customers, in which event all Prospectuses, proxy statements, periodic reports, and other printed material will be sent to Servicer, and all confirmations and other communications to shareholders will be transmitted to Servicer. Servicer shall be responsible for forwarding such printed material, confirmations, and communications, or the information contained therein, to all customers for whom Servicer holds such shares as nominee. Servicer shall also be responsible for complying with all reporting and tax withholding requirements with respect to the customers for whose account Servicer is holding such shares. With respect to customers other than such customers, Servicer shall provide ADI with all information (including, without limitation, certification of TINs and back-up withholding instructions) necessary or appropriate for ADI to comply with any legal and regulatory reporting requirements.
(c) Accounts opened or maintained pursuant to the networking system of NSCC will be governed by applicable NSCC rules and procedures, and any agreement or other arrangement with ADI relating to networking.
