Common use of Agreement to Restrict Trading Clause in Contracts

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.

Appears in 411 contracts

Samples: Investors Cash Trust, Deutsche DWS Money Market Trust, Deutsche DWS Investment Trust

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Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares Fund shares by a Shareholder that has been identified by the Fund Agent as having engaged in transactions of the Fund’s Shares Funds’ shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution of the value of the outstanding Shares shares issued by the FundFunds.

Appears in 40 contracts

Samples: Sales Agreement (Virtus Asset Trust), Sales Agreement (Virtus Asset Trust), Sales Agreement (Virtus Equity Trust)

Agreement to Restrict Trading. Intermediary agrees to shall execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that who 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 shares issued by the Fund.

Appears in 33 contracts

Samples: Advisors Series Trust (Advisors Series Trust), Service Fee Agreement (Advisor Managed Portfolios), Service Fee Agreement (Advisor Managed Portfolios)

Agreement to Restrict Trading. The Intermediary agrees to execute written 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 accountan Account) that violate the 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 Fundits Shares.

Appears in 32 contracts

Samples: Supplemental Agreement (Principal Life Insurance Co Variable Life Sep Account), Supplemental Agreement (Principal Life Insurance Co Separate Account B), Supplemental Agreement (National Variable Annuity Account Ii)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares Fund shares by a Shareholder that who 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.

Appears in 31 contracts

Samples: Distribution Agreement (JOHCM Funds Trust), Distribution Agreement (Total Fund Solution), Distribution Agreement (Total Fund Solution)

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.

Appears in 27 contracts

Samples: Participation Agreement (Tiaa Separate Account Va-3), Participation Agreement (First Investors Life Level Premium Variable Lif Ins Sep Ac B), Participation Agreement (First Investors Life Variable Annuity Fund D)

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares Covered Transactions involving Fund shares by a Shareholder that shareholder who has been identified by the Fund as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued by the FundFund shares.

Appears in 18 contracts

Samples: Rule 22c 2 Agreement (VARIABLE ANNUITY ACCT C OF VOYA RETIREMENT INSURANCE & ANNUITY Co), Rule 22c 2 Agreement (VARIABLE ANNUITY ACCT C OF VOYA RETIREMENT INSURANCE & ANNUITY Co), Rule 22c 2 Agreement (VARIABLE ANNUITY ACCT C OF VOYA RETIREMENT INSURANCE & ANNUITY Co)

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 in 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.

Appears in 13 contracts

Samples: Participation Agreement (Aul American Individual Variable Life Unit Trust), Participation Agreement (Symetra Separate Account Sl), Participation Agreement (Pruco Life Flexible Premium Variable Annuity Account)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund or Fund Agent 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.

Appears in 12 contracts

Samples: Columbia Funds Series Trust, Columbia Funds Series Trust II, Fund Sales Agreement (Columbia Funds Series Trust I)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares or take such other action as requested by the Fund for a Shareholder that has been identified by the Fund as having engaged in transactions of the Fund’s 's Shares (directly or indirectly through the Intermediary’s '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.

Appears in 10 contracts

Samples: Shareholder Information Agreement (American Fidelity Separate Account B), Shareholder Information Agreement (American Fidelity Separate Account C), Shareholder Information Agreement (Agl Separate Account Vl-R)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Agent as having engaged in transactions of the Fund’s in Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the a Company or Fund Agent for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the a Fund.

Appears in 10 contracts

Samples: Sales Agreement (Pimco Funds), Sales Agreement, Sales Agreement (PIMCO Flexible Municipal Income Fund)

Agreement to Restrict Trading. The Intermediary agrees to execute written instructions from the Fund Transfer Agent to restrict or prohibit further purchases or exchanges of Shares Fund shares by a Shareholder shareholder that has been identified by the Fund Transfer Agent as having engaged in transactions of the Fund’s Shares 's shares (directly or indirectly through the Intermediary’s an 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 shares issued by the Fund.

Appears in 9 contracts

Samples: Funds Intermediary Agreement (National Variable Annuity Account Ii), Shareholder Information Agreement (Allianz Life Variable Account B), Funds Intermediary Agreement (Variable Account II of AGL of Delaware)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund or its designee 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 an account with 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.

Appears in 8 contracts

Samples: Selling Agreement (Nexpoint Event-Driven Fund), Selling Agreement (Nexpoint Opportunistic Credit Fund), Selling Agreement (Nexpoint Opportunistic Credit Fund)

Agreement to Restrict Trading. The Intermediary agrees to execute written instructions from the Fund Transfer Agent to restrict or prohibit further purchases or exchanges of Shares Fund shares by a Shareholder shareholder that has been identified by the Fund Transfer Agent as having engaged in transactions of the Fund’s Shares shares (directly or indirectly through the Intermediary’s an 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 shares issued by the Fund.

Appears in 8 contracts

Samples: Intermediary Agreement (Separate Account I of Integrity Life Insurance Co), Intermediary Agreement (Separate Account I of National Integrity Life Ins Co), Intermediary Agreement (Separate Account Ii of National Integrity Life Insurance Co)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Trust or its designee to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Trust as having engaged in transactions of the FundTrust’s Shares (directly or indirectly through the an account with Intermediary’s account) that violate policies established or utilized by the Fund Trust for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundTrust.

Appears in 8 contracts

Samples: Services Agreement (Mercer Funds), Underwriting Agreement (Matthews International Funds), Form of Underwriting Agreement (Matthews International Funds)

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares Covered Transactions involving Fund shares by a Shareholder that shareholder who has been identified by the Fund as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued Fund shares. Unless otherwise directed by the Fund, any such restrictions or prohibitions only apply to Covered Transactions.

Appears in 6 contracts

Samples: Rule 22c 2 Agreement (VARIABLE ANNUITY ACCT C OF VOYA RETIREMENT INSURANCE & ANNUITY Co), Rule 22c 2 Agreement (VARIABLE ANNUITY ACCT C OF VOYA RETIREMENT INSURANCE & ANNUITY Co), 22c 2 Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the a Fund or its designee 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 an account with 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.

Appears in 6 contracts

Samples: Services Agreement (Highland Global Allocation Fund), Services Agreement (Highland Global Allocation Fund Ii), Services Agreement (Highland Floating Rate Opportunities Fund Ii)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund a Request to restrict or prohibit further purchases or exchanges of Shares by a Shareholder Client that has been identified by the Fund as having engaged in transactions of the Fund’s in Shares (directly or indirectly through the Intermediary’s accountan 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 Fundits Shares.

Appears in 6 contracts

Samples: Financial Intermediary Agreement (Aul American Unit Trust), Financial Intermediary Agreement (Lazard Funds Inc), Financial Intermediary Agreement (Lazard Funds Inc)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Funds to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Funds as having engaged in transactions of the Fund’s Funds’ Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund Funds for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFunds.

Appears in 6 contracts

Samples: 2 Agreement (Nuveen Investment Trust V), 2 Agreement (Nuveen Investment Trust V), 2 Agreement (Nuveen Multistate Trust I)

Agreement to Restrict Trading. A. Intermediary agrees to execute written instructions from the Fund or its designee, to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that who has been identified by the Fund as having engaged in transactions of the Fund’s Shares 's shares (directly or indirectly through the Intermediary’s '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.

Appears in 5 contracts

Samples: Shareholder Information Agreement (Usl Separate Account Usl Vl-R), Shareholder Information Agreement (Variable Account Ii Aig Life Insurance Co), Shareholder Information Agreement (Agl Separate Account Vl-R)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Fund, or Fund’s designee, to restrict or prohibit further purchases or exchanges of Shares or take such other action as requested by the Fund, or Fund’s designee, for a Shareholder that has been identified by the Fund Fund, or Fund’s designee, 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.

Appears in 5 contracts

Samples: Shareholder Information Agreement (PLAIC Variable Annuity Account S), Shareholder Information Agreement (PLICO Variable Annuity Account S), Shareholder Information Agreement (MEMBERS Horizon Variable Separate Account)

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 in the Fund’s 's Shares (directly or indirectly through the Intermediary’s '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.

Appears in 4 contracts

Samples: Participation Agreement (Horace Mann Life Insurance Co Separate Account), Participation Agreement (First Symetra National Life Insurance Co of Ny Sep Acct S), Participation Agreement (Symetra Resource Variable Account B)

Agreement to Restrict Trading. The Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that who 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.

Appears in 4 contracts

Samples: Dealer Assistance Agreement (Marsico Investment Fund), Dealer Assistance Agreement (Marsico Investment Fund), Dealer Assistance Agreement (Smead Funds Trust)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the a Fund or Fund Agent 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 's Shares (directly or indirectly through the Intermediary’s '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.

Appears in 4 contracts

Samples: 2 Agreement (Lincoln Life Variable Annuity Account N), 2 Agreement (Lincoln Life Variable Annuity Account N), 2 Agreement (Lincoln New York Account N for Variable Annuities)

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 's Shares (directly or indirectly through the Intermediary’s '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.

Appears in 4 contracts

Samples: Dealer Agreement (Loomis Sayles Funds Ii), Dealer Agreement (IXIS Advisor Funds Trust II), Dealer Agreement (Loomis Sayles Funds Ii)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Agent as having engaged in transactions of the Fund’s 's Shares (directly or indirectly through the Intermediary’s account'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. Restriction of Trading requests must be directed to the Intermediary's representatives at a mutually agreed upon address.

Appears in 4 contracts

Samples: Usl Separate Account Usl Vl-R, Variable Account B American Intl Life Assur Co of New York, Variable Account Ii Aig Life Insurance Co

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares or take such other action as requested by the Fund for 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.

Appears in 4 contracts

Samples: Shareholder Information Agreement (National Variable Life Insurance Account), Shareholder Information Agreement (National Variable Life Insurance Account), Shareholder Information Agreement (National Variable Annuity Account Ii)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares Fund shares by a Shareholder that who has been identified by the Fund as having engaged in transactions of the Fund’s 's Shares (directly or indirectly through the Intermediary’s '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.

Appears in 3 contracts

Samples: Distribution Agreement (Datum One Series Trust), Selling Group Member Agreement (Century Capital Management Trust), Selling Group Member Agreement (Henderson Global Funds)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Xxxxx to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Xxxxx as having engaged in transactions of the Fundfund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund Xxxxx for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundXxxxx.

Appears in 3 contracts

Samples: Protective Variable Annuity Separate Account, Fund Participation Agreement (Principal Life Insurance Co Variable Life Sep Account), Annuity Investors Variable Account C

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Xxxxx to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Xxxxx as having engaged in transactions of the Fund’s fund's Shares (directly or indirectly through the Intermediary’s 's account) that violate policies established or utilized by the Fund Xxxxx for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundXxxxx.

Appears in 3 contracts

Samples: Principal Life Insurance Co Variable Life Sep Account, Principal Life Insurance Co Separate Account B, RBC Variable Annuity Account A

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 in 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. 2.1.

Appears in 3 contracts

Samples: Participation Agreement (Dfa Investment Dimensions Group Inc), Participation Agreement (Dfa Investment Dimensions Group Inc), Participation Agreement (Dfa Investment Dimensions Group Inc)

Agreement to Restrict Trading. Financial Intermediary agrees to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund or Fund Agent as having engaged in transactions of the Fund’s 's Shares (directly or indirectly through the Financial Intermediary’s 's account) that violate violates 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.

Appears in 3 contracts

Samples: Shareholder Information Agreement (Allianz Life Variable Account B), 22c 2 Agreement (RBC Variable Annuity Account A), 22c 2 Agreement (United of Omaha Separate Account C)

Agreement to Restrict Trading. Financial Intermediary agrees to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund or Fund Agent as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Financial Intermediary’s account) that violate violates 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.

Appears in 3 contracts

Samples: Rule 22c 2 Agreement (Titanium Universal Life Variable Account), Rule 22c 2 Agreement (Kilico Variable Annuity Separate Account), Rule 22c 2 Agreement (ALAC Separate Account 1)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund or its designee to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund or its designee as having engaged in transactions of the Fund’s 's Shares (directly or indirectly through the Intermediary’s '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.

Appears in 2 contracts

Samples: Shareholder Information Agreement (Usl Separate Account Usl Vl-R), Shareholder Information Agreement (Agl Separate Account Vl-R)

Agreement to Restrict Trading. The Intermediary agrees to take reasonable steps to execute written instructions from the Fund Funds to restrict or prohibit further purchases or Participant initiated exchanges of Shares by a Shareholder Participant that has been identified by the Fund Affiliate as having engaged in transactions of involving the Fund’s Shares Funds (directly or indirectly through the Intermediary’s account) that violate the trading policies established or utilized by the Fund Affiliate for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFunds.

Appears in 2 contracts

Samples: Shareholder Information Agreement (Prudential Discovery Premier Group Variable Contract Account), Agreement (Prudential Discovery Select Group Variable Contract Acct)

Agreement to Restrict Trading. The Intermediary agrees to execute written instructions from the Fund Funds to restrict or prohibit further Participant initiated exchanges or purchases (not including system initiated purchases pursuant to allocation models or exchanges instructions) of Shares by a Shareholder Participant that has been identified by the Fund Affiliate as having engaged in transactions of involving the Fund’s Shares Funds (directly or indirectly through the Intermediary’s account) that violate the trading policies established or utilized by the Fund Affiliate for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFunds.

Appears in 2 contracts

Samples: Agreement (Prudential Discovery Select Group Variable Contract Acct), Shareholder Information Agreement (Prudential Discovery Premier Group Variable Contract Account)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the a Fund or its designee to restrict or prohibit further purchases or exchanges of Shares by a Shareholder shareholder that has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the an account with 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.

Appears in 2 contracts

Samples: Underwriting Agreement (Stratton Multi-Cap Fund, Inc.), Underwriting Agreement (Stratton Funds, Inc.)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the a Fund or Fund Agent 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.

Appears in 2 contracts

Samples: Rule 22c 2 Agreement (Lincoln Life Variable Annuity Account N), 2 Agreement (Lincoln New York Account N for Variable Annuities)

Agreement to Restrict Trading. The Intermediary agrees to execute written written, instructions from the Fund Funds to restrict or prohibit further purchases or Participant initiated exchanges of Shares by a Shareholder Participant that has been identified by the Fund Affiliate as having engaged in transactions of involving the Fund’s Shares Funds (directly or indirectly through the Intermediary’s account) that violate the trading policies established or utilized by the Fund Affiliate for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFunds.

Appears in 2 contracts

Samples: Agreement (Prudential Discovery Select Group Variable Contract Acct), Shareholder Information Agreement (Prudential Discovery Premier Group Variable Contract Account)

Agreement to Restrict Trading. Intermediary agrees to shall execute written instructions from the Fund Funds to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that who has been identified by the a 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 shares issued by the Fund.

Appears in 2 contracts

Samples: Dealer Agreement (MoA Funds Corp), Dealer Agreement (MoA Funds Corp)

Agreement to Restrict Trading. The Intermediary agrees to execute written instructions from the Fund Funds to restrict or prohibit further purchases or exchanges of Shares trading by a any Shareholder that has been identified by the Fund Funds as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) Fund shares that violate policies established or utilized by the Fund Funds for the purpose of eliminating or reducing market timing or any other potential dilution of the value of the outstanding Shares shares issued by the Fund.

Appears in 2 contracts

Samples: Restriction Agreement (Massmutual Premier Funds), Restriction Agreement (Massmutual Select Funds)

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund Distributor to restrict or prohibit further purchases or exchanges of Shares Covered Transactions involving Fund shares by a Shareholder that shareholder who has been identified by the Fund Distributor as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued Fund shares. Unless otherwise directed by the FundDistributor, any such restrictions or prohibitions only apply to Covered Transactions.

Appears in 2 contracts

Samples: 22c 2 Agreement (VARIABLE ANNUITY ACCT C OF VOYA RETIREMENT INSURANCE & ANNUITY Co), 2 Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further Shareholder-Initiated Transfer Purchases or Shareholder-Initiated Transfer Redemptions that are effected directly or indirectly through Intermediary purchases or exchanges of Shares by a Shareholder that has been identified by the Fund as having engaged in transactions of in 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.

Appears in 2 contracts

Samples: Participation Agreement (Variable Annuity Account a of Protective Life), Participation Agreement (Protective Variable Life Separate Account)

Agreement to Restrict Trading. Intermediary agrees to use reasonable efforts to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Agent as having engaged in transactions of the Fund’s 's Shares (directly or indirectly through the Intermediary’s account'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. Restriction of Trading requests must be directed to the Intermediary's representatives as identified in Appendix A to this Agreement.

Appears in 2 contracts

Samples: Variable Account a American Intl Life Assur Co of New York, Variable Account I of Aig Life Ins Co

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund or its designee to restrict or prohibit further purchases or exchanges of Shares or take such other action as requested by the Fund or its designee for a Shareholder that has been identified by the Fund or its designee 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.

Appears in 2 contracts

Samples: Shareholder Information Agreement (Maxim Series Fund Inc), Shareholder Information Agreement (Maxim Series Account of Great West Life & Annuity Ins Co)

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 who has been identified by the Fund as having engaged in transactions of in 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.

Appears in 2 contracts

Samples: Participation Agreement (Corporate Sponsored Vul Separate Account I), Participation Agreement (New York Life Ins & Annuity Corp Var Univ Life Sep Acc I)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund (which may include electronic writings and facsimile transmissions) 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 in Shares (directly or indirectly through the Intermediary’s accountan 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 Fundits Shares.

Appears in 2 contracts

Samples: Shareholder Information Agreement (PHL Variable Accumulation Account), Valley Forge Life Insurance Co Variable Annuity Separate Acc

Agreement to Restrict Trading. The Intermediary agrees to execute written instructions from the Fund Portfolio to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Portfolio as having engaged in transactions of the FundPortfolio’s Shares (directly or indirectly through the Intermediary’s account(or indirect intermediary’s) Account) that violate policies established or utilized by the Fund Portfolio for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundPortfolio.

Appears in 2 contracts

Samples: 22c 2 Agreement (Allianz Life Variable Account B), 22c 2 Agreement (Allianz Life of Ny Variable Account C)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund or its designee to restrict or prohibit further purchases (not including system initiated purchases pursuant to allocation models or instructions) or exchanges of Shares by a Shareholder that has been identified by the Fund or its designee 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.

Appears in 2 contracts

Samples: Shareholder Information Agreement (Prudential Discovery Premier Group Variable Contract Account), Agreement (Prudential Discovery Select Group Variable Contract Acct)

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares Covered Transactions involving Fund shares by a Shareholder that shareholder who has been identified by the Fund as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution of the value of the outstanding Shares shares issued by the Funds. Unless otherwise directed by the Fund, any such restrictions or prohibitions only apply to Covered Transactions.

Appears in 2 contracts

Samples: 22c 2 Agreement (VARIABLE ANNUITY ACCT C OF VOYA RETIREMENT INSURANCE & ANNUITY Co), 22c 2 Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from Distributor or the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by Distributor or the Fund as having engaged in transactions of the Fund’s 's Shares (directly or indirectly through the an account with 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.

Appears in 2 contracts

Samples: Aston Funds, Abn Amro Funds

Agreement to Restrict Trading. A. Intermediary agrees to execute written instructions from the Fund or its designee, to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that who has been identified by the Fund as having engaged in transactions of the Fund’s Shares 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.

Appears in 2 contracts

Samples: Shareholder Information Agreement (Kilico Variable Annuity Separate Account), Shareholder Information Agreement (Tiaa-Cref Life Separate Account Vli-1)

Agreement to Restrict Trading. The Intermediary agrees to execute written instructions from the Fund Funds to restrict or prohibit further purchases or Participant initiated exchanges of Shares by a Shareholder Participant that has been identified by the Fund Affiliate as having engaged in transactions of involving the Fund’s Shares Funds (directly or indirectly through the Intermediary’s account) that violate the trading policies established or utilized by the Fund Affiliate for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFunds.

Appears in 2 contracts

Samples: Agreement (Prudential Discovery Select Group Variable Contract Acct), Shareholder Information Agreement (Prudential Discovery Premier Group Variable Contract Account)

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares Covered Transactions involving Fund shares by a Shareholder that shareholder who has been identified by the Fund Agent as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued Fund shares. Unless otherwise directed by the FundFund Agent, any such restrictions or prohibitions only apply to Covered Transactions.

Appears in 1 contract

Samples: Rule 22c 2 Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)

Agreement to Restrict Trading. Financial Intermediary agrees to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund or Fund Agent as having engaged in transactions of the Fund’s ’ s Shares (directly or indirectly through the Financial Intermediary’s ’ s account) that violate violates 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.

Appears in 1 contract

Samples: Shareholder Information Agreement (Annuity Investors Variable Account B)

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 who has been identified by the Fund as having engaged in transactions of the Fund’s 's Shares (directly or indirectly through the Intermediary’s '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.

Appears in 1 contract

Samples: Service Agreement (Aul American Unit Trust)

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Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares involving Fund shares by a Shareholder that shareholder who has been identified by the Fund as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued by the FundFund shares.

Appears in 1 contract

Samples: Rule 22c 2 Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund (which may include electronic writings and facsimile transmissions) 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 in Shares (directly or indirectly through the Intermediary’s accountan 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 Fundits Shares.

Appears in 1 contract

Samples: RBC Variable Annuity Account A

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Funds to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that who has been identified by the Fund Funds as having engaged in transactions of the a Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund Funds for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFunds.

Appears in 1 contract

Samples: Shareholder Information Agreement

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund Distributor to restrict or prohibit further purchases or exchanges of Shares Covered Transactions involving Fund shares by a Shareholder that shareholder who has been identified by the Fund Distributor or its designee as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued Fund shares. Unless otherwise directed by the FundDistributor or its designee, any such restrictions or prohibitions only apply to Covered Transactions.

Appears in 1 contract

Samples: Rule 22c 2 Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund Funds to restrict or prohibit further purchases or exchanges of Shares Covered Transactions involving the Funds shares by a Shareholder that shareholder who has been identified by the Fund Funds as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued by the FundFunds’ shares.

Appears in 1 contract

Samples: Assignment and Rule 22c 2 Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)

Agreement to Restrict Trading. The Intermediary agrees to take reasonable steps to execute written instructions from the Fund Funds to restrict or prohibit further Participant initiated exchanges or purchases or exchanges of Shares by a Shareholder Participant that has been identified by the Fund Affiliate as having engaged in transactions of involving the Fund’s Shares Funds (directly or indirectly through the Intermediary’s account) that violate the trading policies established or utilized by the Fund Affiliate for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFunds.

Appears in 1 contract

Samples: Shareholder Information Agreement (Prudential Discovery Premier Group Variable Contract Account)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Company or its designee to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Company as having engaged in transactions of the FundFund Company’s Shares (directly or indirectly through the an account with Intermediary’s account) that violate policies established or utilized by the Fund Company for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFund Company.

Appears in 1 contract

Samples: Or Services Agreement (New Alternatives Fund)

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares Covered Transactions involving Fund shares by a Shareholder that shareholder who has been identified by the Fund Agent as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued by the FundFund shares.

Appears in 1 contract

Samples: 2 Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Funds, Fund Agent or their designated agent, to restrict or prohibit further purchases or exchanges of Shares Covered Transactions involving Fund shares by a Shareholder that shareholder who has been identified by the Funds, Fund Agent or their designated agent, as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued by the FundFund shares.

Appears in 1 contract

Samples: 2 Agreement (Variable Annuity Account I of Ing Life Insurance & Annuity Co)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Trust or its designee to restrict or prohibit further purchases or exchanges of Shares by a Shareholder shareholder that has been identified by the Fund Trust as having engaged in transactions of the Fund’s Fund Shares (directly or indirectly through the an account with Intermediary’s account) that violate policies established or utilized by the Fund Trust for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundFunds.

Appears in 1 contract

Samples: Services Agreement (FundVantage Trust)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares Fund shares by a Shareholder that has been identified by the Fund Agent as having engaged in transactions of the Fund’s Shares Funds' shares (directly or indirectly through the Intermediary’s 's account) that violate policies established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution of the value of the outstanding Shares shares issued by the FundFunds.

Appears in 1 contract

Samples: Aul American Unit Trust

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Trust to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that who has been identified by the Fund Trust as having engaged in transactions of the Fund’s Trust's Shares (directly or indirectly through the Intermediary’s 's account) that violate policies established or utilized by the Fund Trust for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundTrust.

Appears in 1 contract

Samples: Service Agreement (Aul American Unit Trust)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares Fund shares by a Client-Shareholder that who has been identified by the Fund as having engaged in transactions of the Fund’s Shares 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 shares issued by the Fund.

Appears in 1 contract

Samples: 2 Agreement (Stewart W P & Co Growth Fund Inc)

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund and/or its designee to restrict or prohibit further purchases or exchanges of Shares Covered Transactions involving Fund shares by a Shareholder that shareholder who has been identified by the Fund and/or its designee as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued by the FundFund shares.

Appears in 1 contract

Samples: 22c 2 Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares Covered Transactions involving Fund shares by a Shareholder that shareholder who has been identified by the Fund as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued by the Fund.Fund shares,

Appears in 1 contract

Samples: 2 Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases (not including system inititated purchases pursuant to allocation models or instructions) or exchanges of Shares or take such other action as requested by the Fund for 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.

Appears in 1 contract

Samples: Shareholder Information Agreement (Prudential Discovery Premier Group Variable Contract Account)

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares transactions involving Fund shares by a Shareholder that shareholder who has been identified by the Fund as having engaged in transactions in shares of the Fund’s Shares (directly or indirectly through the Intermediary’s account) a Fund that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued Fund shares. Unless otherwise directed by the Fund, any such restrictions or prohibitions only apply to Covered Transactions.

Appears in 1 contract

Samples: 22c 2 Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund Distributor or the Funds to restrict or prohibit further purchases or exchanges of Shares Covered Transactions involving Fund shares by a Shareholder that shareholder who has been identified by the Fund Distributor or the Funds as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued Fund shares. Unless otherwise directed by the Fund, any such restrictions or prohibitions only apply to Covered Transactions.

Appears in 1 contract

Samples: Rule 22c 2 Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further (i) Covered Transactions or (ii) purchases or exchanges of Shares involving Fund shares by a Shareholder that shareholder who has been identified by the Fund as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued by the FundFund shares.

Appears in 1 contract

Samples: Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)

Agreement to Restrict Trading. The 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 an omnibus account of 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 FundFund (“Fund Policies”).

Appears in 1 contract

Samples: Dealer Agreement (Lifetime Achievement Fund Inc)

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund Agent to restrict or prohibit further purchases or exchanges of Shares involving Fund shares by a Shareholder that shareholder who has been identified by the Fund as having engaged in transactions in shares of the Fund’s Shares a Fund (directly or indirectly through the Intermediary’s account) that violate the policies established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution of the value of the outstanding Shares shares issued by the FundFunds.

Appears in 1 contract

Samples: Rule 22c 2 Agreement (Variable Annuity Account I of Ing Life Insurance & Annuity Co)

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 who 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.

Appears in 1 contract

Samples: Administration Agreement (PNC Funds Inc)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions Instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares 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.

Appears in 1 contract

Samples: Stewart W P & Co Growth Fund Inc

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares shares by a Shareholder that who 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 shares issued by the Fund.

Appears in 1 contract

Samples: Agreement (GMO Series Trust)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Trust or its designated agent to restrict or prohibit further purchases or exchanges of Shares Fund shares by a Shareholder that has been identified by the Fund Trust as having engaged in transactions of the Fund’s Shares Fund shares (directly or indirectly through the Intermediary’s 's account) that violate policies established or utilized by the Fund Trust for the purpose purposes of eliminating or reducing any dilution of the value of the outstanding Shares shares issued by the Fund.

Appears in 1 contract

Samples: Service Agreement (Aul American Unit Trust)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the a Fund or its designee to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund Company as having engaged in transactions of the Fund’s Shares (directly or indirectly through the an account with 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.

Appears in 1 contract

Samples: Services Agreement (Highland Funds I)

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.Shares

Appears in 1 contract

Samples: Variable Account B American Intl Life Assur Co of New York

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund Funds or their designee to restrict or prohibit further purchases or exchanges of Shares Covered Transactions involving Fund shares by a Shareholder that shareholder who has been identified by the Fund Funds as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued by the FundFund shares.

Appears in 1 contract

Samples: Rule 22c 2 Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)

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 who 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, as set forth in SEC Rule 22c-2.

Appears in 1 contract

Samples: Shareholder Information Agreement (Rs Investment Trust)

Agreement to Restrict Trading. Financial Intermediary agrees to execute written instructions from the Fund or its designee to restrict or prohibit further purchases or exchanges of Shares or take such other action as requested by the Fund or its designee for a Shareholder that has been identified by the Fund or its designee as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Financial 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.

Appears in 1 contract

Samples: Selling and Service Agreement (Maxim Series Fund Inc)

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 in the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate frequent trading 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.

Appears in 1 contract

Samples: Participation Agreement (TIAA-CREF Life Separate Account VLI-2)

Agreement to Restrict Trading. 1. Each Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares involving Fund shares by a Shareholder that shareholder who has been identified by the Fund as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued Fund shares. Unless otherwise directed by the Fund, any such restrictions or prohibitions shall only apply to Shareholder-Initiated Transfer Purchases.

Appears in 1 contract

Samples: Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)

Agreement to Restrict Trading. l . The Intermediary agrees to execute written instructions from the Fund Administrator to restrict or prohibit further purchases or exchanges of Shares Covered Transactions involving Fund shares by a Shareholder that shareholder who has been identified by the Fund Administrator as having engaged in transactions in shares of the Fund’s Shares a Fund (through an account directly or indirectly through maintained by the Intermediary’s account) that violate the policies and procedures established or utilized by the Fund Funds for the purpose purposes of eliminating or reducing any dilution frequent trading of the value of the outstanding Shares issued by the FundFund shares.

Appears in 1 contract

Samples: Agreement (SEPARATE ACCOUNT B OF VOYA INSURANCE & ANNUITY Co)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund or its designee to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund or its designee 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.

Appears in 1 contract

Samples: Shareholder Information Agreement (Tiaa-Cref Life Separate Account Vli-1)

Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund Portfolios to restrict or prohibit further purchases or exchanges of Shares Shareholder-Initiated Transactions by a Shareholder that has been identified by the Fund Portfolios as having engaged in transactions of the FundPortfolio’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund Portfolios for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the FundPortfolio.

Appears in 1 contract

Samples: Shareholder Information Agreement (United Investors Annuity Variable Account)

Agreement to Restrict Trading. Financial Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares Fund shares by a Shareholder that who has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Financial 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.

Appears in 1 contract

Samples: Shareholder Servicing Plan and Agreement (Avenue Mutual Funds Trust)

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