Common use of Form and Timing of Response Clause in Contracts

Form and Timing of Response. (a) Broker/Dealer agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in Section 11(a). If requested by the Fund or its designee, Broker/Dealer agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section 11(a) is itself a financial intermediary (“Indirect Intermediary”) and, upon further request of the Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section 11(a) for those Shareholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Broker/Dealer additionally agrees to inform the Fund whether it plans to perform (i) or (ii).

Form and Timing of Response. (a) Broker/Dealer Servicer agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in Section 11(a). If requested by the Fund or its designee, Broker/Dealer Servicer agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section 11(a) is itself a financial intermediary (“Indirect Intermediary”) and, upon further request of the Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section 11(a) for those Shareholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Broker/Dealer Servicer additionally agrees to inform the Fund whether it plans to perform (i) or (ii).

Form and Timing of Response. (a) Broker/Dealer Trust Entity agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in Section 11(a13(a). If requested by the Fund or its designee, Broker/Dealer Trust Entity agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section 11(a13(a) is itself a financial intermediary (“Indirect Intermediary”) and, upon further request of the Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section 11(a13(a) for those Shareholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Broker/Dealer Trust Entity additionally agrees to inform the Fund whether it plans to perform (i) or (ii).

Form and Timing of Response. (a) Broker/-Dealer agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in Section 11(a). If requested by the Fund or its designee, Broker/-Dealer agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section 11(a) is itself a financial intermediary (“Indirect Intermediary”) and, upon further request of the Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section 11(a) for those Shareholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Broker/-Dealer additionally agrees to inform the Fund whether it plans to perform (i) or (ii).

Form and Timing of Response. (a) Broker/Dealer Intermediary agrees to provide, promptly promptly, but in any event no later than ten (10) business days upon request of the Fund or its designee, the requested information specified in Section 11(a)B.1. If requested by the Fund or its designee, Broker/Dealer Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section 11(a) B.1 is itself a financial intermediary (“Indirect Intermediaryindirect intermediary”) and, upon further request of the Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section 11(a) B.1 for those Shareholders shareholders who hold an account with an Indirect Intermediary indirect intermediary or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Broker/Dealer Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).

Form and Timing of Response. (a) Broker/Dealer The Company agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in Section 11(aArticle 12.9(a). If requested by the Fund or its designee, Broker/Dealer the Company agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section 11(aArticle 12.9(a) is itself a financial intermediary (“Indirect Intermediary”) and, upon further request of the Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section 11(aArticle 12.9(a) for those Shareholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Broker/Dealer The Company additionally agrees to inform the Fund whether it plans to perform (i) or (ii).

Form and Timing of Response. (a) Broker/Dealer Firm agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in Section 11(a15(a). If requested by the Fund or its designee, Broker/Dealer Firm agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section 11(a15(a) is itself a financial intermediary (“Indirect Intermediary”) and, upon further request of the Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section 11(a15(a) for those Shareholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Broker/Dealer Firm additionally agrees to inform the Fund whether it plans to perform (i) or (ii).

Form and Timing of Response. (a) Broker/Dealer agrees to provide, promptly upon request of the Fund ADI or its designee, the requested information specified in Section 11(a). If requested by the Fund ADI or its designee, Broker/Dealer agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section 11(a) is itself a financial intermediary (“Indirect Intermediary”) and, upon further request of the Fund ADI or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section 11(a) for those Shareholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Broker/Dealer additionally agrees to inform the Fund whether it plans to perform (i) or (ii).

Form and Timing of Response. (a) Broker/Dealer agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in Section 11(a). If requested by the Fund or its designee, Broker/Dealer agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section 11(a) is itself a financial intermediary (“Indirect Intermediary”) and, upon further request of the Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section 11(a) for those Shareholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Broker/Dealer additionally agrees to inform the Fund whether it plans to perform (i) or (ii).. 2011-09-ALPS

Form and Timing of Response. (a) Broker/-Dealer agrees to provide, promptly upon request of the Fund Company or its designee, the requested information specified in Section 11(a). If requested by the Fund Company or its designee, Broker/-Dealer agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section 11(a) is itself a financial intermediary (“Indirect Intermediary”) and, upon further request of the Fund Company or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section 11(a) for those Shareholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the FundCompany. Broker/-Dealer additionally agrees to inform the Fund Company whether it plans to perform (i) or (ii).

Form and Timing of Response. (a) Broker/-Dealer agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in Section 11(a). If requested by the Fund or its designee, Broker/-Dealer agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section 11(a) is itself a financial intermediary (“Indirect Intermediary”) and, upon further request of the Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section 11(a) for those Shareholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Broker/-Dealer additionally agrees to inform the Fund whether it plans to perform (i) or (ii).. 2019-11-RREDIF

Form and Timing of Response. (a) Broker/-Dealer agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in Section 11(a). If requested by the Fund or its designee, Broker/-Dealer agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section 11(a) is itself a financial intermediary (“Indirect Intermediary”) and, upon further request of the Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section 11(a) for those Shareholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Broker/-Dealer additionally agrees to inform the Fund whether it plans to perform (i) or (ii).. 2020-06-AAI FIT

Form and Timing of Response. (a) Broker/Dealer agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in Section 11(aSection1(i). If requested by the Fund or its designee, Broker/Dealer agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section 11(a1(i) is itself a financial intermediary (“"Indirect Intermediary”") and, upon further request of the Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section 11(a1(i) for those Shareholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Broker/Dealer additionally agrees to inform the Fund whether it plans to perform (i) or (ii).