Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund is registered. b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains. c. Issue tax withholding reports to the Internal Revenue Service.
Appears in 67 contracts
Sources: Transfer Agency Agreement (Cavanal Hill Funds), Transfer Agency Agreement (Miles Funds, Inc.), Transfer Agency Agreement (Access One Trust)
Compliance Reporting. a. Provide (i) Provides reports to the Securities and Exchange Commission, the National Association of Securities Dealers SEC and the States states in which the Fund is Portfolios are registered.
b. (ii) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (iii) Issue tax withholding reports to the Internal Revenue Service.
Appears in 36 contracts
Sources: Mutual Fund Services Agreement (Schwartz Investment Trust), Mutual Fund Services Agreement (Schwartz Investment Trust), Mutual Fund Services Agreement (Williamsburg Investment Trust)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States in which the Fund is registered.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 33 contracts
Sources: Transfer Agency Services Agreement (HSBC Advisor Funds Trust), Transfer Agency Services Agreement (HSBC Portfolios), Transfer Agency Services Agreement (HSBC Funds)
Compliance Reporting. a. (i) Provide reports to the Securities and Exchange Commission, Commission (the National Association of Securities Dealers “SEC”) and the States states in which the Fund is Funds are registered.
b. (ii) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (iii) Issue tax withholding reports to the Internal Revenue Service.
Appears in 25 contracts
Sources: Transfer Agent and Shareholder Services Agreement (Ultimus Managers Trust), Transfer Agent and Shareholder Services Agreement (Meehan Mutual Funds, Inc.), Transfer Agent and Shareholder Services Agreement (Ultimus Managers Trust)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Commission and the States in which the Fund is registeredFINRA.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gainsFund.
c. Issue tax withholding reports to the Internal Revenue Service.
Appears in 20 contracts
Sources: Services Agreement (2023 ETF Series Trust), Services Agreement (Nushares ETF Trust), Services Agreement (Timothy Plan)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Commission and the States states in which the Fund is registered.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 17 contracts
Sources: Transfer Agency Services Order (Boston Trust Walden Funds), Administrative and Transfer Agency Services Agreement (Diamond Hill Securitized Credit Fund), Sub Transfer Agency Services Agreement (Diamond Hill Funds)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, and the States in which the Fund is registered.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 17 contracts
Sources: Transfer Agency Agreement (Security Equity Fund), Transfer Agency Agreement (Security Income Fund /Ks/), Transfer Agency Agreement (Security Equity Fund)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States states in which the Fund is registered.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 10 contracts
Sources: Master Services Agreement (Blue Fund Group), Transfer Agency Agreement (TD Asset Management USA Funds Inc.), Master Services Agreement (Needham Funds Inc)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Financial Industry Regulatory Authority, and the States in which the Fund is registered.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 10 contracts
Sources: Transfer Agency Agreement (SBL Fund), Transfer Agency Agreement (Security Equity Fund), Transfer Agency Agreement (Security Income Fund /Ks/)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States in which the Fund is registered.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. Issue tax withholding reports to the Internal Revenue Service.
Appears in 6 contracts
Sources: Transfer Agency Agreement (Kensington Funds), Transfer Agency Agreement (Pacific Capital Funds), Transfer Agency Agreement (Market Street Fund Inc)
Compliance Reporting. a. Provide (i) Provides reports to the Securities and Exchange Commission, the National Association of Securities Dealers SEC and the States states in which the Fund is Funds are registered.
b. (ii) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (iii) Issue tax withholding reports to the Internal Revenue Service.
Appears in 4 contracts
Sources: Mutual Fund Services Agreement (Chesapeake Investment Trust), Mutual Fund Services Agreement (Eubel Brady & Suttman Mutual Fund Trust), Mutual Fund Services Agreement (Gardner Lewis Investment Trust)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund is Funds are registered.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. Issue tax withholding reports to the Internal Revenue Service.
Appears in 4 contracts
Sources: Transfer Agency Agreement (Willamette Funds), Transfer Agency Agreement (Coventry Group), Transfer Agency Agreement (Coventry Group)
Compliance Reporting. a. (i) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Commission and the States states in which the Fund is Portfolios are registered.
b. (ii) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund shareholder income, capital gains and shareholder income and capital gainsprovide cost basis reporting.
c. (iii) Issue tax withholding reports to the Internal Revenue Service.
Appears in 4 contracts
Sources: Transfer Agent and Shareholder Services Agreement (First Western Funds Trust), Transfer Agent and Shareholder Services Agreement (First Western Funds Trust), Transfer Agent and Shareholder Services Agreement (First Western Funds Trust)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund is registered.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. Issue tax withholding reports to the Internal Revenue Service.
Appears in 3 contracts
Sources: Transfer Agency and Shareholder Service Agreement (Amsouth Mutual Funds), Transfer Agency Agreement (Performance Funds Trust), Transfer Agency Agreement (Intrust Funds Trust)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers FINRA and the States states in which the a Fund is registered.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 3 contracts
Sources: Transfer Agency Services Agreement (Mirae Asset Discovery Funds), Services Agreement (Mirae Asset Discovery Funds), Services Agreement (Mirae Asset Discovery Funds)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States in which the Fund is registered.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. Issue tax withholding reports to the Internal Revenue Service.
d. Prepare reports to the Board of Trustees summarizing issues relating to the provision of BISYS' services of which BISYS is aware and the Board of Trustees should be aware.
Appears in 3 contracts
Sources: Transfer Agency Agreement (Victory Variable Insurance Funds), Transfer Agency Agreement (Victory Portfolios), Transfer Agency Agreement (Victory Institutional Funds)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers NASD and the States in which the Fund is registered.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. Issue tax withholding reports to the Internal Revenue Service.
Appears in 3 contracts
Sources: Transfer Agency and Fund Accounting Agreement (Cardinal Group), Transfer Agency Agreement (Sessions Group), Transfer Agency Agreement (Cardinal Group)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange CommissionSEC, the National Association of Securities Dealers Financial Industry Regulatory Authority and the States states in which the Fund Client is registeredrequired to make filings regarding the private offering of its Interests to investors.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (b) Issue tax withholding reports to the Internal Revenue Service.
Appears in 3 contracts
Sources: Services Agreement (Growth Capital TEI Portfolio, LLC), Services Agreement (Growth Capital Portfolio, LLC), Services Agreement (Growth Capital Master Portfolio, LLC)
Compliance Reporting. a. (i) Provide reports to the Securities and Exchange Commission, Commission (the National Association of Securities Dealers “SEC”) and the States states in which the Fund is Portfolios are registered.
b. (ii) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (iii) Issue tax withholding reports to the Internal Revenue Service.
Appears in 3 contracts
Sources: Transfer Agent and Shareholder Services Agreement (Papp Investment Trust), Transfer Agent and Shareholder Services Agreement (Empire Builder Tax Free Bond Fund), Transfer Agent and Shareholder Services Agreement (Papp Investment Trust)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States in which the Fund is registered.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. Issue tax withholding reports to the Internal Revenue Service.
d. Prepare reports to the Board of Trustees summarizing issues relating to the provision of SunGard’ services of which SunGard is aware and the Board of Trustees should be aware.
Appears in 2 contracts
Sources: Transfer Agency Agreement (Victory Portfolios II), Transfer Agency Agreement (Victory Portfolios II)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Regulation, Inc. and the States in which the Fund is registered.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. Issue tax withholding reports to the Internal Revenue Service.
Appears in 2 contracts
Sources: Transfer Agency Agreement (Governor Funds), Transfer Agency Agreement (Governor Funds)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund is registered.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. b. Issue tax withholding reports to the Internal Revenue Service.
Appears in 2 contracts
Sources: Transfer Agency Agreement (Msd&t Funds Inc), Transfer Agency Agreement (Msd&t Funds Inc)
Compliance Reporting. a. (i) Provide reports to the Securities and Exchange Commission, Commission (the National Association of Securities Dealers "SEC") and the States states in which the Fund is Funds are registered.
b. (ii) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (iii) Issue tax withholding reports to the Internal Revenue Service.
Appears in 2 contracts
Sources: Transfer Agent and Shareholder Services Agreement (Ultimus Managers Trust), Transfer Agent and Shareholder Services Agreement (Broadmark Funds)
Compliance Reporting. a. Provide (i) Provides reports to the Securities and Exchange Commission, the National Association of Securities Dealers SEC and the States states in which the Fund is registered.;
b. (ii) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (iii) Issue tax withholding reports to the Internal Revenue Service.
Appears in 2 contracts
Sources: Services Agreement (FSI Low Beta Absolute Return Fund), Services Agreement (FSI Low Beta Absolute Return Fund)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States in which the Fund is registeredregistered or is required to file a form of notification.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. Issue tax withholding reports to the Internal Revenue Service.
Appears in 2 contracts
Sources: Sub Transfer Agency Agreement (Fifth Third Funds), Sub Transfer Agency Agreement (Fifth Third Funds)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, and the States in which the Fund is registered.
b. . Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. . Issue tax withholding reports to the Internal Revenue Service.
Appears in 2 contracts
Sources: Transfer Agency Agreement (Security Mid Cap Growth Fund), Transfer Agency Agreement (Security Large Cap Value Fund/Ks/)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Financial Industry Regulatory Authority, TFS and the States states in which the Fund fund is registered.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 2 contracts
Sources: Transfer Agency Agreement (Diversified Investors Funds Group Ii), Transfer Agency Agreement (Diversified Investors Funds Group)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange CommissionSEC, the National Association of Securities Dealers Dealers, Inc. and the States states in which the Fund is registered.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 2 contracts
Sources: Master Services Agreement (Coventry Group), Master Services Agreement (Coventry Group)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States (including abandoned property and escheatment reporting) in which the Fund is registered.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 2 contracts
Sources: Transfer Agency Agreement (Great Hall Investment Funds Inc), Transfer Agency Agreement (Tamarack Funds Trust)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund each Portfolio is registered.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. Issue tax withholding reports to the Internal Revenue Service.
Appears in 2 contracts
Sources: Services Agreement (Usallianz Variable Insurance Products Trust), Services Agreement (Usallianz Funds)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, ATIS and the States states in which the Fund fund is registered.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 2 contracts
Sources: Transfer Agency Agreement (Transamerica Investors Inc), Transfer Agency Agreement (Transamerica Investors Inc)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States states in which the Fund is Funds are registered.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. Issue tax withholding reports to the Internal Revenue Service.
Appears in 2 contracts
Sources: Transfer Agent Servicing Agreement (Mercantile Mutual Funds Inc), Transfer Agent Servicing Agreement (Mercantile Mutual Funds Inc)
Compliance Reporting. a. (i) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Commission and the States states in which the Fund is Portfolios are registered.
b. (ii) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (iii) Issue tax withholding reports to the Internal Revenue Service.
(iv) Provide quarterly reports regarding Ultimus' provision of shareholder identification verification procedures in accordance with the Trust's Anti-Money Laundering Policy.
Appears in 2 contracts
Sources: Transfer Agent and Shareholder Services Agreement (Piedmont Investment Trust), Transfer Agent and Shareholder Services Agreement (PMFM Investment Trust)
Compliance Reporting. a. Provide reports to the Securities and Exchange CommissionSEC, the National Association of Securities Dealers ("NASD") and the States in which the Fund is Funds are registered.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund Funds and shareholder income and capital gains.
c. Issue Manage the issuance of tax withholding reports to the Internal Revenue Service.
Appears in 2 contracts
Sources: Services Agreement (Gartmore Variable Insurance Trust), Services Agreement (Gartmore Mutual Funds)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund fund is registered.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Sources: Transfer Agency Agreement (Mma Praxis Mutual Funds)
Compliance Reporting. a. Provide (i) Provides reports to the Securities and Exchange Commission, the National Association of Securities Dealers SEC and the States states in which the Fund is registered.;
b. (ii) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. gains (iii) Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Sources: Services Agreement (FSI Low Beta Absolute Return Fund)
Compliance Reporting. a. (i) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers SEC and the States states in which the Fund is Funds are registered.
b. (ii) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (iii) Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Sources: Mutual Fund Services Agreement (BPV Family of Funds)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund is Funds are registered.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. Issue tax tax-withholding reports to the Internal Revenue Service.
Appears in 1 contract
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States in which the Fund is registered.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.. Exhibit (h)(2)
c. (c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Sources: Master Services Agreement (HSBC Investor Portfolios)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States in which the Fund is registered.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (c) Issue tax withholding reports to the Internal Revenue Service.
(d) Prepare and distribute statements of average cost. (Note, additional fee is applicable.)
Appears in 1 contract
Compliance Reporting. a. a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States in which the Fund is registered.
b. b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund is registered.;
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.; and
c. Issue tax tax-withholding reports to the Internal Revenue Service.
Appears in 1 contract
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States in which the Fund is registered.
b. . Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. . Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Sources: Transfer Agency Agreement (Variable Insurance Funds)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States states in which the Fund is registered.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Sources: Master Services Agreement (Greenwich Advisors Trust)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund Trust is registered.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund the Trust and shareholder income and capital gains.
c. Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Compliance Reporting. a. (i) Provide reports to the Securities and Exchange Commission, Commission (the National Association of Securities Dealers “SEC”) and the States states in which the Fund is Portfolios are registered.
b. (ii) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (iii) Issue tax withholding reports to the Internal Revenue Service.
(iv) Provide reporting to help detect and monitor market timing in compliance with Rule 22c-2.
Appears in 1 contract
Sources: Sub Transfer Agent and Shareholder Services Agreement (First Pacific Mutual Fund Inc /Hi/)
Compliance Reporting. a. (i) Provide reports to the U.S. Securities and Exchange Commission, Commission (the National Association of Securities Dealers “SEC”) and the States states in which the Fund is Funds are registered.
b. (ii) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (iii) Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Sources: Transfer Agent and Shareholder Services Agreement (Walthausen Funds)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States states in which the Fund is registered.;
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.; and
c. (c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States in which the Fund is registeredregistered or makes notice filings.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the each Fund is registered.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding each Fund and shareholder income and capital gains.
c. Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange CommissionSEC, the National Association of Securities Dealers Dealers, Inc. and the States states in which the Fund is Funds are registered.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Compliance Reporting. a. Provide (i) Provides reports to the Securities and Exchange Commission, the National Association of Securities Dealers SEC and the States states in which the Fund is Company are registered.
b. (ii) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (iii) Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Sources: Mutual Fund Services Agreement (Managed Municipal Fund Inc)
Compliance Reporting. a. (a) Provide any required reports to the Securities and Exchange Commission, the National Association of Securities Dealers Financial Industry Regulatory Authority, and the States in which the Fund is registered.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Sources: Transfer Agency Agreement (Guggenheim Strategy Funds Trust)
Compliance Reporting. a. (i) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Commission and the States states in which the Fund is Funds are registered.
b. (ii) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (iii) Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Sources: Mutual Fund Services Agreement (Fairholme Funds Inc)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Financial Industry Regulatory Authority and the States states in which the Fund is registered.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (c) Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Sources: Services Agreement (Aberdeen Funds)
Compliance Reporting. a. (i) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers SEC and the States states in which the Fund is Portfolios are registered.
b. (ii) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (iii) Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Compliance Reporting. a. (i) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Commission and the States states in which the Fund is Portfolios are registered, as requested or required.
b. (ii) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. (iii) Issue tax withholding reports to the Internal Revenue Service.
(iv) Provide quarterly reports regarding Ultimus' provision of shareholder identification verification procedures in accordance with the Trust's Anti-Money Laundering Policy.
Appears in 1 contract
Sources: Transfer Agent and Shareholder Services Agreement (Guerite Funds)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund Company is registered.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund the Company and shareholder income and capital gains.
c. Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Sources: Transfer Agency Agreement (First Eagle Fund of America Inc)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States in which the Fund is registered.
b. (b) Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. Issue (c) To the extent required information is provided to BISYS, perform required tax withholding and issue tax withholding reports to the Internal Revenue Service.
(d) Prepare and distribute statements of average cost.
Appears in 1 contract
Sources: Transfer Agency Agreement (Profunds)
Compliance Reporting. a. Provide Providing reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund is registered.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund and shareholder income and capital gains.
c. Issue tax withholding reports to the Internal Revenue Service.
Appears in 1 contract
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund is registered.
b. Prepare and distribute appropriate Internal Revenue Service forms for corresponding Fund Funds and shareholder income and capital gains.
c. Issue tax tax-withholding reports to the Internal Revenue Service.
Appears in 1 contract