Licensing of Investment Advisor’s Staff. (if desired) § $__/year per registered representative § Quasar sponsors the following licenses: Series 6, 7, 24, 26, 27, 63, 66 § $__/FINRA designated branch location § All associated FINRA and state fees for registered representatives, including license and renewal fees Fund Fact Sheets §Design - $__/fact sheet, includes first production §Production - $__ /fact sheet per production period §All printing costs are out-of-pocket expenses in addition to the design and production fees §Web sites, third-party data provider costs, brochures, and other sales support materials – Project priced via Quasar proposal Out-of-Pocket Expenses Reasonable out-of-pocket expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of shares, including, but not limited to: §Typesetting, printing and distribution of prospectuses and shareholder reports §Production, printing, distribution, and placement of advertising, sales literature, and materials §Engagement of designers, free-lxxxx writers, and public relations firms §Postage, overnight delivery charges §FINRA registration fees (Including late U5 charge if applicable) §Record retention (Including RR email correspondence if applicable) §Travel, lodging, and meals *Subject to annual CPI increase - All Urban Consumers - U.S. City Average. Fees are calculated pro rata and billed monthly. Advisor’s Signature below acknowledges approval of the fee schedule on this Exhibit B. Xxxxxxx Capital Management, LLC By: /s/ Mxxxxxxx X. Xxxx Printed Name and Title: Mxxxxxxx X. Xxxx, Chief Administrative & Operating Officer Date: Feb 11, 2016
Licensing of Investment Advisor’s Staff. (if desired) § $____ per year per registered representative § Quasar sponsors the following licenses: Series 6, 7, 24, 26, 27, 63, 66 § $____ per FINRA designated branch location § All associated FINRA and state fees for registered representatives, including license and renewal fees Fund Fact Sheets § Design - $____ per fact sheet, includes first production § Production - $____ per fact sheet per each production period § All printing costs are Miscellaneous expenses in addition to the design and production fees § Web sites, third-party data provider costs, brochures, and other sales support materials – Project priced via Quasar proposal
Licensing of Investment Advisor’s Staff. (if desired) § $__/year per registered representative § Quasar sponsors the following licenses: Series 6, 7, 24, 26, 27, 63, 66 § $__/FINRA designated branch location § All associated FINRA and state fees for registered representatives, including license and renewal fees Fund Fact Sheets § Design - $__/fact sheet, includes first production § Production - $__ /fact sheet per production period § All printing costs are out-of-pocket expenses in addition to the design and production fees § Web sites, third-party data provider costs, brochures, and other sales support materials – Project priced via Quasar proposal Out-of-Pocket Expenses Reasonable out-of-pocket expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of shares, including, but not limited to: § Typesetting, printing and distribution of prospectuses and shareholder reports § Production, printing, distribution, and placement of advertising, sales literature, and materials § Engagement of designers, free-lxxxx writers, and public relations firms § Postage, overnight delivery charges § FINRA registration fees (Including late U5 charge if applicable) § Record retention (Including RR email correspondence if applicable) § Travel, lodging, and meals
Licensing of Investment Advisor’s Staff. (if desired) · $1,500 per year per registered representative · Quasar is limited to these licenses for sponsorship: Series, 6, 7, 24, 26, 27, 63, 66 · Plus all associated NASD and State fees for Registered Representatives, including license and renewal fees. Fund Fact Sheets · Design - $1,000 per fact sheet, includes first production · Production - $500.00 per fact sheet per production period · All printing costs are out-of-pocket expenses, and in addition to the design fee and production fee. Out-of-Pocket Expenses Reasonable out-of-pocket expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of Shares, including, without limitation: · typesetting, printing and distribution of Prospectuses and shareholder reports · production, printing, distribution and placement of advertising and sales literature and materials · engagement of designers, free-xxxxx writers and public relations firms · long-distance telephone lines, services and charges · postage · overnight delivery charges · NASD registration fees (NASD advertising filing fees are included in Advertising Compliance Review section above) · record retention · travel, lodging and meals Fees are billed monthly. * Subject to CPI increase, Milwaukee MSA.
Licensing of Investment Advisor’s Staff. (if desired) § $____ /year per registered representative § Quasar sponsors the following licenses: Series, 6, 7, 24, 26, 27, 63, 66 § $____ /FINRA designated branch location § Plus all associated FINRA and state fees for Registered Representatives, including license and renewal fees Fund Fact Sheets § Design - $____ /fact sheet, includes first production § Production - $____ /fact sheet per production period § All printing costs are out-of-pocket expenses, and in addition to the design fee and production fee § Web sites, third-party data provider costs, brochures, and other sales support materials – Project priced via Quasar proposal Out-of-Pocket Expenses Reasonable out-of-pocket expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of shares, including, but not limited to: § Typesetting, printing and distribution of prospectuses and shareholder reports § Production, printing, distribution, and placement of advertising, sales literature, and materials § Engagement of designers, free-lxxxx writers, and public relations firms § Postage, overnight delivery charges § FINRA registration fees [To include late U5 charge (if applicable)] (FINRA advertising filing fees are included in Advertising Compliance Review section above) § Record retention § Travel, lodging, and meals *Subject to annual CPI increase, Milwaukee MSA. Fees are billed monthly.
Licensing of Investment Advisor’s Staff. (if desired) • $2,800 per year per registered representative • Quasar sponsors the following licenses: Series 6, 7, 24, 26, 27, 63, 66 • $3,000 per FINRA designated branch location • All associated FINRA and state fees for registered representatives, including license and renewal fees Fund Fact Sheets • Design - $1,000 per fact sheet, includes first production • Production - $500 per fact sheet per each production period • All printing costs are out-of-pocket expenses in addition to the design and production fees • Web sites, third-party data provider costs, brochures, and other sales support materials – Project priced via Quasar proposal Chief Compliance Officer Support Fee (Fund Complex)* • $3,000 per year Out-of-Pocket Expenses Reasonable out-of-pocket expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of shares, including, but not limited to: • Typesetting, printing and distribution of prospectuses and shareholder reports • Production, printing, distribution, and placement of advertising, sales literature, and materials • Engagement of designers, free-xxxxx writers, and public relations firms • Postage, overnight delivery charges • FINRA registration fees other costs to fulfill regulatory requirements • Record retention (Including RR email correspondence if applicable) • Travel, lodging, and meals * Subject to annual CPI increase - All Urban Consumers - U.S. City Average
Licensing of Investment Advisor’s Staff. (if required) · $ 900 per year per registered representative · Quasar is limited to these licenses for sponsorship: Series, 6, 7, 24, 26, 27, 63, 66 · Plus any NASD and state fees for registered representatives, including license and renewal fees. Fund Fact Sheets · Design - $1,000 per fact sheet, includes first production · Production - $500.00 per fact sheet per production period · All printing costs are out-of-pocket expenses, and in addition to the design fee and production fee.
Licensing of Investment Advisor’s Staff. ▪ $__ per year per registered representative ▪ Licenses sponsored: Series 6, 7, 24, 26, 63, 66 ▪ All associated FINRA and state fees for registered representatives, including license and renewal fees Marketing Support Services ▪ The design and/ or production of fund fact sheets, commentaries, brochures and other sales support materials - Project priced via proposal Miscellaneous Expenses All other miscellaneous fees and expenses, including but not limited to the following, will be separately billed as incurred: ▪ Production, printing, distribution, and placement of advertising, sales literature, and materials ▪ Engagement of designers, free-xxxxx writers, and public relations firms ▪ Postage, overnight delivery charges ▪ FINRA registration fees and other costs to fulfill regulatory requirements ▪ Travel, lodging, and meals Additional services not included above shall be mutually agreed upon at the time of the service being added. In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). *Subject to annual CPI increase - All Urban Consumers - U.S. City Average Fees are calculated pro rata and billed monthly.
Licensing of Investment Advisor’s Staff. (if desired) · $900 annual fee per registered representative (“RR”). Quasar is limited to these licenses for sponsorship: 6 7 24 26 27 63 66 63/65 · All associated NASD and State fees for RRs, including license and renewal fees. Out-of-Pocket Expenses Reasonable out-of-pocket expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of Shares, including, without limitation: · typesetting, printing and distribution of Prospectuses and shareholder reports · production, printing, distribution and placement of advertising and sales literature and materials · engagement of designers, free-xxxxx writers and public relations firms · long-distance telephone lines, services and charges · postage · overnight delivery charges · NASD registration fees (NASD advertising filing fees are included in Advertising Compliance Review section above) · record retention · travel, lodging and meals Schedule B to the Distribution Agreement by and among Allied Asset Advisors Funds Allied Asset Advisors, Inc. and Quasar Distributors, LLC at September, 2006 CHIEF COMPLIANCE OFFICER SUPPORT SERVICES FEE SCHEDULE Chief Compliance Officer Support Services U.S, Bancorp provides support to the Chief Compliance Officer (CCO) of each fund serviced either by U.S. Bancorp Fund Services, LLC or Quasar Distributors, LLC. Indicated below are samples of functions performed by USBFS in this CCO support role: • Business Line Functions Supported • Fund Administration and Compliance • Transfer Agent and Shareholder Services • Fund Accounting • Custody Services • Securities Lending Services • Distribution Services • Daily Resource to Fund CCO, Fund Board, Advisor • Provide USBFS/USB Critical Procedures & Compliance Controls • Daily and Periodic Reporting • Periodic CCO Conference Calls • Dissemination of Industry/Regulatory Information • Client & Business Line CCO Education & Training • Due Diligence Review of USBFS Service Facilities • Quarterly USBFS Certification • Board Meeting Presentation and Board Support • Testing, Documentation, Reporting Annual Fee Schedule* · $1,200 per service per year Fees are billed monthly. *Subject to annual CPI increase, Milwaukee MSA.
Licensing of Investment Advisor’s Staff. (if desired) · $_____ per year per registered representative · Quasar is limited to these licenses for sponsorship: Series, 6, 7, 24, 26, 27, 63, 66 · Plus any FINRA and state fees for registered representatives, including license and renewal fees. · $_____ annual branch location fee, $_____ annual non-branch location fee (If required per FINRA regulation).
