Compliance Reporting. (a) Provide reports to the Securities and Exchange Commission and FINRA.
Appears in 19 contracts
Samples: Services Agreement (ETF Opportunities Trust), Services Agreement (ETF Opportunities Trust), Services Agreement (Nushares ETF Trust)
Compliance Reporting. (a) Provide reports to the Securities and Exchange Commission Commission, FINRA and FINRAthe states in which a Fund is registered.
Appears in 3 contracts
Samples: Services Agreement (Mirae Asset Discovery Funds), Transfer Agency Services Agreement (Mirae Asset Discovery Funds), Services Agreement (Mirae Asset Discovery Funds)