Agreement to Provide Information. Broker/Dealer agrees to provide the Fund, upon written request, the taxpayer identification number (“TIN”), the Individual/International 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 an account maintained by the Broker/Dealer during the period covered by the request.
Appears in 17 contracts
Samples: Broker Dealer, Broker Dealer (Clough Funds Trust), Broker Dealer (ALPS Series Trust)
Agreement to Provide Information. Broker/Dealer agrees to provide the FundFund or its designee, upon written request, the taxpayer identification number (“TIN”), the Individual/International 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 an account maintained by the Broker/Dealer during the period covered by the request.
Appears in 15 contracts
Samples: Broker Dealer (Ares Private Markets Fund), Broker Dealer Selling Agreement (Resource Real Estate Diversified Income Fund), Broker Dealer (1WS Credit Income Fund)
Agreement to Provide Information. Broker/Dealer agrees to provide the FundFund or its designee, upon written request, the taxpayer identification number (“TIN”), the Individual/International 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 an account maintained by the Broker/Dealer during the period covered by the request.
Appears in 14 contracts
Samples: Broker Dealer (Heartland Group Inc), Broker Dealer Selling Agreement, Form of Broker Dealer (Harvest Volatility Edge Trust)
Agreement to Provide Information. Broker/-Dealer agrees to provide the FundFund or its designee, upon written request, the taxpayer identification number (“TIN”), the Individual/International 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 an account maintained by the Broker/-Dealer during the period covered by the request.
Appears in 13 contracts
Samples: Broker Dealer (List Income Opportunities Fund), Broker Dealer (Apollo Diversified Real Estate Fund), Broker Dealer (Apollo Diversified Credit Fund)
Agreement to Provide Information. Broker/Dealer agrees to provide the FundFund or its designee, upon written request, the taxpayer identification number (“TIN”), the Individual/International 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 shares held through an account maintained by the Broker/Dealer during the period covered by the request.
Appears in 8 contracts
Samples: Broker Dealer (FS Multi-Alternative Income Fund), Broker Dealer (FS Series Trust), Broker Dealer (FS Multi-Alternative Income Fund)
Agreement to Provide Information. Broker/Dealer agrees to provide the Fund, upon written request, the taxpayer identification number (“"TIN”"), the Individual/International 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 an account maintained by the Broker/Dealer during the period covered by the request.
Appears in 1 contract
Samples: Selling and Shareholder Support Services Agreement (Aul American Unit Trust)
Agreement to Provide Information. Broker/-Dealer agrees to provide the FundFund or its designee, upon written request, the taxpayer identification number (“TIN”), the Individual/International 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, redemptionrepurchase, transfer, or exchange) of every purchase, redemptionrepurchase, transfer, or exchange of Shares held through an account maintained by the Broker/-Dealer during the period covered by the request.
Appears in 1 contract
Agreement to Provide Information. Broker/-Dealer agrees to provide the FundCompany or its designee, upon written request, the taxpayer identification number (“TIN”), the Individual/International 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 an account maintained by the Broker/-Dealer during the period covered by the request.
Appears in 1 contract