Compliance Reporting. (i) Provide reports to the Securities and Exchange Commission and the states in which the Portfolios are registered.
Appears in 55 contracts
Samples: Transfer Agent and Shareholder Services Agreement (First Western Funds Trust), Mutual Fund Services Agreement (Memorial Funds), Transfer Agent and Shareholder Services Agreement (First Western Funds Trust)
Compliance Reporting. (ia) Provide reports to the Securities and Exchange Commission Commission, the National Association of Securities Dealers, Inc. and the states States in which the Portfolios are Fund is registered.
Appears in 36 contracts
Samples: Transfer Agency Agreement (Firsthand Funds), Master Services Agreement (HSBC Investor Portfolios), Transfer Agency Services Agreement (HSBC Portfolios)
Compliance Reporting. (i) Provide Provides reports to the Securities and Exchange Commission SEC and the states in which the Portfolios are registered.
Appears in 33 contracts
Samples: Mutual Fund Services Agreement (Schwartz Investment Trust), Mutual Fund Services Agreement (Berwyn Funds), Mutual Fund Services Agreement (Schwartz Investment Trust)
Compliance Reporting. (i) Provide reports to the Securities and Exchange Commission (the “SEC”) and the states in which the Portfolios Funds are registered.
Appears in 25 contracts
Samples: Transfer Agent and Shareholder Services Agreement (Ultimus Managers Trust), Shareholder Services Agreement (Meehan Mutual Funds, Inc.), Transfer Agent and Shareholder Services Agreement (Ultimus Managers Trust)
Compliance Reporting. (ia) Provide reports to the Securities and Exchange Commission Commission, the National Association of Securities Dealers, and the states States in which the Portfolios are Fund is registered.
Appears in 17 contracts
Samples: Transfer Agency Agreement (Security Income Fund /Ks/), Transfer Agency Agreement (Security Equity Fund), Transfer Agency Agreement (Security Equity Fund)
Compliance Reporting. (ia) Provide reports to the Securities and Exchange Commission and the states in which the Portfolios are Fund is registered.
Appears in 16 contracts
Samples: Services Agreement (Diamond Hill Funds), Services Agreement (Allianz Variable Insurance Products Trust), Sub Transfer Agency Services Agreement (Diamond Hill Funds)
Compliance Reporting. (ia) Provide reports to the Securities and Exchange Commission Commission, the Financial Industry Regulatory Authority, and the states States in which the Portfolios are Fund is registered.
Appears in 12 contracts
Samples: Transfer Agency Agreement (Security Income Fund /Ks/), Transfer Agency Agreement (Transparent Value Trust), Transfer Agency Agreement (Security Mid Cap Growth Fund)
Compliance Reporting. (i) a. Provide reports to the Securities and Exchange Commission Commission, the National Association of Securities Dealers, Inc. and the states States in which the Portfolios are Fund is registered.
Appears in 11 contracts
Samples: Transfer Agency Agreement (Victory Portfolios II), Transfer Agency Agreement (Victory Portfolios II), Transfer Agency Agreement (Kensington Funds)
Compliance Reporting. (ia) Provide reports to the Securities and Exchange Commission Commission, the National Association of Securities Dealers, Inc. and the states in which the Portfolios are Fund is registered.
Appears in 10 contracts
Samples: Transfer Agency Agreement (TD Asset Management USA Funds Inc.), Master Services Agreement (Needham Funds Inc), Master Services Agreement (Blue Fund Group)
Compliance Reporting. (i) a. Provide reports to the Securities and Exchange Commission Commission, the National Association of Securities Dealers and the states States in which the Portfolios Funds are registered.
Appears in 5 contracts
Samples: Transfer Agency Agreement (Willamette Funds), Transfer Agency Agreement (Coventry Group), Transfer Agency Agreement (Coventry Group)
Compliance Reporting. (i) Provide reports to the Securities and Exchange Commission (the “SEC”) and the states in which the Portfolios are registered.
Appears in 4 contracts
Samples: Transfer Agent and Shareholder Services Agreement (Papp Investment Trust), Transfer Agent and Shareholder Services Agreement (Papp Investment Trust), Transfer Agent and Shareholder Services Agreement (Empire Builder Tax Free Bond Fund)
Compliance Reporting. (ia) Provide reports to the Securities and Exchange Commission SEC, the Financial Industry Regulatory Authority and the states in which the Portfolios are registeredClient is required to make filings regarding the private offering of its Interests to investors.
Appears in 3 contracts
Samples: Form of Services Agreement (Growth Capital TEI Portfolio, LLC), Form of Services Agreement (Growth Capital Portfolio, LLC), Form of Services Agreement (Growth Capital Master Portfolio, LLC)
Compliance Reporting. (i) a. Provide reports to the Securities and Exchange Commission Commission, the National Association of Securities Dealers and the states States in which the Portfolios are each Portfolio is registered.
Appears in 2 contracts
Samples: Services Agreement (Usallianz Funds), Services Agreement (Usallianz Variable Insurance Products Trust)
Compliance Reporting. (i) a. Provide reports to the Securities and Exchange Commission Commission, the National Association of Securities Dealers and the states in which the Portfolios Funds are registered.
Appears in 2 contracts
Samples: Exhibit H (Mercantile Mutual Funds Inc), Transfer Agent Servicing Agreement (Mercantile Mutual Funds Inc)
Compliance Reporting. (i) a. Provide reports to the Securities and Exchange Commission Commission, the National Association of Securities Dealers, Inc. and the states States in which the Portfolios are registeredFund is registered or is required to file a form of notification.
Appears in 2 contracts
Samples: Sub Transfer Agency Agreement (Fifth Third Funds), Sub Transfer Agency Agreement (Fifth Third Funds)
Compliance Reporting. (i) Provide Provides reports to the Securities and Exchange Commission and the states in which the Portfolios are registered.
Appears in 2 contracts
Samples: Agent and Shareholder Services Agreement (Atalanta Sosnoff Investment Trust), Transfer Agent and Shareholder Services Agreement (Hussman Investment Trust)
Compliance Reporting. (i) a. Provide reports to the Securities and Exchange Commission Commission, the National Association of Securities Dealers Regulation, Inc. and the states States in which the Portfolios are Fund is registered.
Appears in 2 contracts
Samples: Transfer Agency Agreement (Governor Funds), Transfer Agency Agreement (Governor Funds)
Compliance Reporting. (i) Provide reports to the Securities and Exchange Commission and the states in which the Portfolios Funds are registered.
Appears in 1 contract
Samples: Mutual Fund Services Agreement (Fairholme Funds Inc)
Compliance Reporting. (ia) Provide reports to the Securities and Exchange Commission Commission, the National Association of Securities Dealers, Inc. and the states States in which the Portfolios are Fund is registered.
Appears in 1 contract
Compliance Reporting. (i) a. Provide reports to the Securities and Exchange Commission Commission, the National Association of Securities Dealers and the states States in which the Portfolios are Trust is registered.
Appears in 1 contract
Compliance Reporting. (ia) Provide reports to the Securities and Exchange Commission Commission, the National Association of Securities Dealers, Inc. and the states States in which the Portfolios are registeredFund is registered or makes notice filings.
Appears in 1 contract
Compliance Reporting. (i) Provide reports to the Securities and Exchange Commission and the states in which the Portfolios are registered, as requested or required.
Appears in 1 contract
Samples: Agent and Shareholder Services Agreement (Guerite Funds)
Compliance Reporting. (i) Provide reports to the Securities and Exchange Commission SEC and the states in which the Portfolios are registered.
Appears in 1 contract
Compliance Reporting. (i) a. Provide reports to the Securities and Exchange Commission Commission, the National Association of Securities Dealers and the states States in which the Portfolios are each Fund is registered.
Appears in 1 contract
Compliance Reporting. (i) a. Provide reports to the Securities and Exchange Commission Commission, the National Association of Securities Dealers and the states States in which the Portfolios are Company is registered.
Appears in 1 contract
Samples: Transfer Agency Agreement (First Eagle Fund of America Inc)
Compliance Reporting. (ia) Provide reports to the Securities and Exchange Commission Commission, the National Association of Securities Dealers and the states States in which the Portfolios are fund is registered.
Appears in 1 contract
Samples: Transfer Agency Agreement (Mma Praxis Mutual Funds)
Compliance Reporting. (ia) Provide reports to the Securities and Exchange Commission Commission, the National Association of Securities Dealers, Inc. and the states in which the Portfolios are Fund is registered.;
Appears in 1 contract
