Frequent Trading. As among the Customer, the IBD, the Funds, and the Distributor, each shall have access to: (i) Customer account numbers, (ii) an IBD identifier, (iii) an investment professional identifier, and (iv) tax identification numbers on transactions and the amounts and dates of those transactions; transmitted by the Clearing Broker to the Distributor. Clearing Broker shall abide by written instructions to block accounts from trading in Shares at the written request of the Distributor, a Fund, or an IBD in order to assist such party in preventing market timing.
Frequent Trading a. The Fund Company may, from time to time, in its sole discretion, restrict certain Investors from purchasing Shares of the Funds. The Fund Company must notify Broker-Dealer in writing, in a form required by Broker-Dealer, of any such restriction, and Broker-Dealer agrees to implement such restriction as soon as practically possible, after its receipt of notification of such restriction from the Fund Company according to the provisions of Exhibit B-1 or B-2, as applicable. If the Fund Company wishes to reinstate the Investor, the Fund Company must notify the Broker-Dealer in writing as soon as practically possible.
Frequent Trading. Frequent trading can be time consuming and distracting, and frequent trading of Company Securities can create an appearance of wrongdoing even if the decision to trade was based solely on public information. Therefore, we strongly discourage frequent trading of Company Securities and encourage our employees not to trade Company Securities for short-term trading profit. • Short Sales. Short sales of Company Securities (i.e., the sale of a security that the seller does not own) by any officer, director or employee are prohibited. Short sales may evidence an expectation on the part of the seller that the securities will decline in value and therefore have the potential to signal to the market that the seller lacks confidence in the Company’s prospects. Short sales may also reduce a seller’s incentive to seek to improve the Company’s performance. In addition, Section 16(c) of the Securities Exchange Act of 1934, as amended, and the rules and regulations thereunder (the “Exchange Act”) prohibit officers and directors of the Company from engaging in short sales. (Short sales arising from certain types of hedging transactions are governed by the paragraph below captioned “Hedging Transactions.”)
Frequent Trading. NFS makes and will continue to make available to Fund/Agent tools for monitoring of disruptive trading practices and for communication to NFS as to which accounts to provide warnings and/or blocks from trading. NFS will execute instructions to restrict or prohibit further purchases or exchanges by any Shareholder identified by the Funds as having engaged in trading that violates the Funds’ market timing policies. In addition, NFS will reasonably cooperate with the funds to investigate and address transactions identified by the Funds as being disruptive.
Frequent Trading. MassMutual shall abide by requirements of the Funds’ frequent trading policy as described in the Series’ Prospectus and statement of additional information.
Frequent Trading. A. The Trust has adopted policies concerning the frequent trading of Fund Shares. For the purpose of implementing Rule 22c-2, the Trust has adopted policies and procedures designed to detect frequent trading activity ("Frequent Trading Procedures") and will provide a copy of such Frequent Trading Procedures to UMBFS prior to commencement of a Fund's operations.
Frequent Trading. A Second Round Trip within the Fund within thirty (30) calendar days after the completion of a Round Trip within the Fund.
Frequent Trading. As among the RIA Customer, the RIA, the Funds or Fund’s Agent, and the Series Trust, each shall have access to: (i) RIA Customer account numbers, (ii) an RIA identifier, (iii) an investment professional identifier, if applicable, and (iv) tax identification numbers on transactions and the amounts and dates of those transactions; transmitted or caused to be transmitted by the Dealer to the Series Trust, or its agent. Dealer shall abide by written instructions to block accounts from trading in Shares at the written request of the Series Trust or a Fund, in order to assist such party in executing their policies and procedures with respect to “short-term” or abusive trading.
Frequent Trading. As among the Client, the Funds and the Custodian or its designee, each shall have access to: (i) Client account numbers, (ii) a Financial Intermediary identifier, (iii) an investment professional identifier, and (iv) tax identification numbers on transactions and the amounts and dates of those transactions; transmitted by Custodian or its affiliated designee(s) to the Series Trust. Custodian shall abide by written instructions to block accounts from trading in Shares at the written request of the Series Trust, a Fund, or a Financial Intermediary in order to assist such party in preventing market timing.
Frequent Trading. C.M. Life shall abide by requirements of the Funds’ frequent trading policy as described in the Series’ Prospectus and statement of additional information.
