Common use of Licensing of Investment Advisor’s Staff Clause in Contracts

Licensing of Investment Advisor’s Staff. (if desired) · $900 annual fee per registered representative (“RR”). Quasar is limited to these licenses for sponsorship: 6 7 24 26 27 63 66 63/65 · All associated NASD and State fees for RRs, including license and renewal fees. Out-of-Pocket Expenses Reasonable out-of-pocket expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of Shares, including, without limitation: · typesetting, printing and distribution of Prospectuses and shareholder reports · production, printing, distribution and placement of advertising and sales literature and materials · engagement of designers, free-xxxxx writers and public relations firms · long-distance telephone lines, services and charges · postage · overnight delivery charges · NASD registration fees (NASD advertising filing fees are included in Advertising Compliance Review section above) · record retention · travel, lodging and meals Schedule B to the Distribution Agreement by and among Allied Asset Advisors Funds Allied Asset Advisors, Inc. and Quasar Distributors, LLC at September, 2006 CHIEF COMPLIANCE OFFICER SUPPORT SERVICES FEE SCHEDULE Chief Compliance Officer Support Services U.S, Bancorp provides support to the Chief Compliance Officer (CCO) of each fund serviced either by U.S. Bancorp Fund Services, LLC or Quasar Distributors, LLC. Indicated below are samples of functions performed by USBFS in this CCO support role: • Business Line Functions Supported • Fund Administration and Compliance • Transfer Agent and Shareholder Services • Fund Accounting • Custody Services • Securities Lending Services • Distribution Services • Daily Resource to Fund CCO, Fund Board, Advisor • Provide USBFS/USB Critical Procedures & Compliance Controls • Daily and Periodic Reporting • Periodic CCO Conference Calls • Dissemination of Industry/Regulatory Information • Client & Business Line CCO Education & Training • Due Diligence Review of USBFS Service Facilities • Quarterly USBFS Certification • Board Meeting Presentation and Board Support • Testing, Documentation, Reporting Annual Fee Schedule* · $1,200 per service per year Fees are billed monthly. *Subject to annual CPI increase, Milwaukee MSA.

Appears in 1 contract

Samples: Distribution Agreement (Allied Asset Advisors Funds)

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Licensing of Investment Advisor’s Staff. (if desired) · $900 annual fee _____ per year per registered representative (“RR”). · Quasar is limited to these licenses for sponsorship: 6 7 24 26 27 63 Series, 6, 7, 24, 26, 27, 63, 66 63/65 · All $_____ per FINRA designated branch location · Plus all associated NASD and FINRA & State fees for RRsRegistered Representatives, including license and license, renewal fees. · $___ penalty to be paid by Advisor if written notice of termination of a RR is not received by Quasar within ten (10) business days of the RR’s effective date of termination. Fund Fact Sheets · Design - $_____ per fact sheet, includes first production · Production - $___ per fact sheet per production period · All printing costs are out-of-pocket expenses, and in addition to the design fee and production fee. · Web sites, brochures and other sales support materials – Project priced via Quasar proposal. Out-of-Pocket Expenses Reasonable out-of-pocket expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of Shares, including, without limitation: · typesetting, printing and distribution of Prospectuses and shareholder reports · production, printing, distribution and placement of advertising and sales literature and materials · engagement of designers, free-xxxxx lxxxx writers and public relations firms · long-distance telephone lines, services and charges · postage · postage, overnight delivery charges · NASD FINRA registration fees [To include late U5 charge (NASD if applicable)] (FINRA advertising filing fees are included in Advertising Compliance Review section above) · record retention · travel, lodging and meals Schedule B to the Distribution Agreement by and among Allied Asset Advisors Funds Allied Asset Advisors, Inc. and Quasar Distributors, LLC at September, 2006 CHIEF COMPLIANCE OFFICER SUPPORT SERVICES FEE SCHEDULE Chief Compliance Officer Support Services U.S, Bancorp provides support to the Chief Compliance Officer (CCO) of each fund serviced either by U.S. Bancorp Fund Services, LLC or Quasar Distributors, LLC. Indicated below are samples of functions performed by USBFS in this CCO support role: • Business Line Functions Supported • Fund Administration and Compliance • Transfer Agent and Shareholder Services • Fund Accounting • Custody Services • Securities Lending Services • Distribution Services • Daily Resource to Fund CCO, Fund Board, Advisor • Provide USBFS/USB Critical Procedures & Compliance Controls • Daily and Periodic Reporting • Periodic CCO Conference Calls • Dissemination of Industry/Regulatory Information • Client & Business Line CCO Education & Training • Due Diligence Review of USBFS Service Facilities • Quarterly USBFS Certification • Board Meeting Presentation and Board Support • Testing, Documentation, Reporting Annual Fee Schedule* · $1,200 per service per year Fees are billed monthly. ** Subject to annual CPI increase, Milwaukee MSA.. Advisor’s Signature below acknowledges approval of the fee schedule above. Congress Asset Management Company LLP By: /s/Bxxxx X. Xxxxxx Date: 3/9/2009 Name & Title: Bxxxx X. Xxxxxx Director of Operations

Appears in 1 contract

Samples: Distribution Agreement (Professionally Managed Portfolios)

Licensing of Investment Advisor’s Staff. (if desired) · $900 annual fee 2,500 per year per registered representative (RR”). ) · Quasar is limited to these licenses for sponsorship: 6 7 24 26 27 63 Series, 6, 7, 24, 26, 27, 63, 66 63/65 · All $3,000 per FINRA designated branch location · Plus all associated NASD FINRA and State fees for RRsRegistered Representatives, including license and renewal fees. · $500 penalty to be paid by Advisor if written notice of termination of a RR is not received by Quasar within ten (10) business days of the RR’s effective date of termination. Fund Fact Sheets · Design - $1,000 per fact sheet, includes first production · Production - $500.00 per fact sheet per production period · All printing costs are out-of-pocket expenses, and in addition to the design fee and production fee. · Web sites, brochures and other sales support materials – Project priced via Quasar proposal. Out-of-Pocket Expenses Reasonable out-of-pocket expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of Shares, including, without limitation: · typesetting, printing and distribution of Prospectuses and shareholder reports · production, printing, distribution and placement of advertising and sales literature and materials · engagement of designers, free-xxxxx lxxxx writers and public relations firms · long-distance telephone lines, services and charges · postage · postage, overnight delivery charges · NASD FINRA registration fees (NASD FINRA advertising filing fees are included in Advertising Compliance Review section above) · record retention · travel, lodging and meals Schedule B to the Distribution Agreement by and among Allied Asset Advisors Funds Allied Asset Advisors, Inc. and Quasar Distributors, LLC at September, 2006 CHIEF COMPLIANCE OFFICER SUPPORT SERVICES FEE SCHEDULE Chief Compliance Officer Support Services U.S, Bancorp provides support to the Chief Compliance Officer (CCO) of each fund serviced either by U.S. Bancorp Fund Services, LLC or Quasar Distributors, LLC. Indicated below are samples of functions performed by USBFS in this CCO support role: • Business Line Functions Supported • Fund Administration and Compliance • Transfer Agent and Shareholder Services • Fund Accounting • Custody Services • Securities Lending Services • Distribution Services • Daily Resource to Fund CCO, Fund Board, Advisor • Provide USBFS/USB Critical Procedures & Compliance Controls • Daily and Periodic Reporting • Periodic CCO Conference Calls • Dissemination of Industry/Regulatory Information • Client & Business Line CCO Education & Training • Due Diligence Review of USBFS Service Facilities • Quarterly USBFS Certification • Board Meeting Presentation and Board Support • Testing, Documentation, Reporting Annual Fee Schedule* · $1,200 per service per year Fees are billed monthly. ** Subject to annual CPI increase, Milwaukee MSA.. Exhibit B to the Bxxxxxx Investment Trust and Bxxxxxx Investment Partners, L.P. Distribution Agreement Fund Names Separate Series of Bxxxxxx Investment Trust Name of Series Brandes Institutional International Equity Fund Bxxxxxx Separately Managed Account Reserve Trust Bxxxxxx Institutional Core Plus Fixed Income Fund Bxxxxxx Institutional Enhanced Income Fund Bxxxxxx Institutional Global Equity Fund

Appears in 1 contract

Samples: Distribution Agreement (Brandes Investment Trust)

Licensing of Investment Advisor’s Staff. (if desired) · § $900 annual fee ____ /year per registered representative (“RR”). § Quasar is limited to these licenses for sponsorship: 6 7 24 26 27 63 Series, 6, 7, 24, 26, 27, 63, 66 63/65 · All § $____ /FINRA designated branch location § Plus all associated NASD FINRA and State fees for RRsRegistered Representatives, including license and renewal fees. Outfees Fund Fact Sheets § Design - $____ /fact sheet, includes first production § Production - $____ /fact sheet per production period § All printing costs are miscellaneous expenses, and in addition to the design fee and production fee § Web sites, third-of-Pocket party data provider costs, brochures, and other sales support materials – Project priced via Quasar proposal Miscellaneous Expenses Reasonable out-of-pocket miscellaneous expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of Sharesshares, including, without limitationbut not limited to: · typesetting§ Typesetting, printing and distribution of Prospectuses prospectuses and shareholder reports · production§ Production, printing, distribution distribution, and placement of advertising and advertising, sales literature literature, and materials · engagement § Engagement of designers, free-xxxxx writers lxxxx writers, and public relations firms · long§ Long-distance telephone lines, services services, and charges · postage · § Postage, overnight delivery charges · NASD § FINRA registration fees [To include late U5 charge (NASD if applicable)] (FINRA advertising filing fees are included in Advertising Compliance Review section above) · record § Record retention · travel§ Travel, lodging lodging, and meals Schedule B * CPI rates for the Snow Capital Small Cap Value Fund and the Snow Capital Opportunity Fund in effect as of 10/1/16 will remain in effect and not increase for the life of the contract if the contract term is two years. Also, if the contract term is two years, CPI will not apply at all to the Distribution Agreement by and among Allied Asset Advisors Funds Allied Asset Advisors, Inc. and Quasar Distributors, LLC at September, 2006 CHIEF COMPLIANCE OFFICER SUPPORT SERVICES FEE SCHEDULE Chief Compliance Officer Support Services U.S, Bancorp provides support to Dividend Plus Fund or the Chief Compliance Officer (CCO) of each fund serviced either by U.S. Bancorp Fund Services, LLC or Quasar Distributors, LLCFocused Value Fund. Indicated below are samples of functions performed by USBFS in this CCO support role: • Business Line Functions Supported • Fund Administration and Compliance • Transfer Agent and Shareholder Services • Fund Accounting • Custody Services • Securities Lending Services • Distribution Services • Daily Resource to Fund CCO, Fund Board, Advisor • Provide USBFS/USB Critical Procedures & Compliance Controls • Daily and Periodic Reporting • Periodic CCO Conference Calls • Dissemination of Industry/Regulatory Information • Client & Business Line CCO Education & Training • Due Diligence Review of USBFS Service Facilities • Quarterly USBFS Certification • Board Meeting Presentation and Board Support • Testing, Documentation, Reporting Annual Fee Schedule* · $1,200 per service per year Fees are billed monthly. *Subject (Signature on the following page) Snow Amended Exhibit B (continued) to annual CPI increasethe Trust for Professional Managers Distribution Agreement Advisor’s signature below acknowledges approval of the fee schedules on this Amended Exhibit B SNOW CAPITAL MANAGEMENT, Milwaukee MSA.L.P. By: /s/ Cxxx Xxxxx Date: 10/11/2016 Printed Name and Title: Cxxx Xxxxx, COO

Appears in 1 contract

Samples: The Distribution Agreement (Trust for Professional Managers)

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Licensing of Investment Advisor’s Staff. (if desired) · § $900 annual fee ______ /year per registered representative (“RR”). § Quasar is limited to these licenses for sponsorship: 6 7 24 26 27 63 Series, 6, 7, 24, 26, 27, 63, 66 63/65 · All § $______ /FINRA designated branch location § Plus all associated NASD FINRA and State fees for RRsRegistered Representatives, including license and renewal fees. fees Fund Fact Sheets § Design - $______ /fact sheet, includes first production § Production - $______ /fact sheet per production period § All printing costs are out-of-pocket expenses, and in addition to the design fee and production fee § Web sites, third-party data provider costs, brochures, and other sales support materials – Project priced via Quasar proposal Chief Compliance Officer Support Fee* - $______/year Out-of-Pocket Expenses Reasonable out-of-pocket expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of Sharesshares, including, without limitationbut not limited to: · typesetting§ Typesetting, printing and distribution of Prospectuses prospectuses and shareholder reports · production§ Production, printing, distribution distribution, and placement of advertising and advertising, sales literature literature, and materials · engagement § Engagement of designers, free-xxxxx writers lxxxx writers, and public relations firms · long§ Long-distance telephone lines, services services, and charges · postage · § Postage, overnight delivery charges · NASD § FINRA registration fees [To include late U5 charge (NASD if applicable)] (FINRA advertising filing fees are included in Advertising Compliance Review section above) · record § Record retention · travel§ Travel, lodging lodging, and meals Schedule B to the Distribution Agreement by and among Allied Asset Advisors Funds Allied Asset Advisors, Inc. and Quasar Distributors, LLC at September, 2006 CHIEF COMPLIANCE OFFICER SUPPORT SERVICES FEE SCHEDULE Chief Compliance Officer Support Services U.S, Bancorp provides support to the Chief Compliance Officer (CCO) of each fund serviced either by U.S. Bancorp Fund Services, LLC or Quasar Distributors, LLC. Indicated below are samples of functions performed by USBFS in this CCO support role: • Business Line Functions Supported • Fund Administration and Compliance • Transfer Agent and Shareholder Services • Fund Accounting • Custody Services • Securities Lending Services • Distribution Services • Daily Resource to Fund CCO, Fund Board, Advisor • Provide USBFS/USB Critical Procedures & Compliance Controls • Daily and Periodic Reporting • Periodic CCO Conference Calls • Dissemination of Industry/Regulatory Information • Client & Business Line CCO Education & Training • Due Diligence Review of USBFS Service Facilities • Quarterly USBFS Certification • Board Meeting Presentation and Board Support • Testing, Documentation, Reporting Annual Fee Schedule* · $1,200 per service per year Fees are billed monthly. *Subject to annual CPI increase, Milwaukee MSA.. Fees are billed monthly. Cxxxxxx – 11/2012 Exhibit B-1 to the Distribution Agreement QUASAR DISTRIBUTORS, LLC REGULATORY DISTRIBUTION SERVICES FEE SCHEDULE at November, 2012 – THE CXXXXXX RENAISSANCE ADVANTAGE FUND

Appears in 1 contract

Samples: Distribution Agreement (Cushing Funds Trust)

Licensing of Investment Advisor’s Staff. (if desired) · § $900 annual fee __/year per registered representative (“RR”). § Quasar is limited to these licenses for sponsorshipsponsors the following licenses: 6 7 24 26 27 63 Series 6, 7, 24, 26, 27, 63, 66 63/65 · All § $__/FINRA designated branch location § Plus all associated NASD FINRA and State state fees for RRsRegistered Representatives, including license and renewal fees. fees Fund Fact Sheets § Design - $__/fact sheet, includes first production § Production - $__ /fact sheet per production period § All printing costs are out-of-pocket expenses, and in addition to the design fee and production fee § Web sites, third-party data provider costs, brochures, and other sales support materials – Project priced via Quasar proposal Chief Compliance Officer Support Fee* § $__/year Out-of-Pocket Expenses Reasonable out-of-pocket expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of Sharesshares, including, without limitationbut not limited to: · typesetting§ Typesetting, printing and distribution of Prospectuses prospectuses and shareholder reports · production§ Production, printing, distribution distribution, and placement of advertising and advertising, sales literature literature, and materials · engagement § Engagement of designers, free-xxxxx writers lxxxx writers, and public relations firms · long-distance telephone lines§ Postage, services and charges · postage · overnight delivery charges · NASD § FINRA registration fees [To include late U5 charge (NASD if applicable)] (FINRA advertising filing fees are included in Advertising Compliance Review section above) · record § Record retention · travel§ Travel, lodging lodging, and meals Schedule B to the Distribution Agreement by and among Allied Asset Advisors Funds Allied Asset Advisors, Inc. and Quasar Distributors, LLC at September, 2006 CHIEF COMPLIANCE OFFICER SUPPORT SERVICES FEE SCHEDULE Chief Compliance Officer Support Services U.S, Bancorp provides support to the Chief Compliance Officer (CCO) of each fund serviced either by U.S. Bancorp Fund Services, LLC or Quasar Distributors, LLC. Indicated below are samples of functions performed by USBFS in this CCO support role: • Business Line Functions Supported • Fund Administration and Compliance • Transfer Agent and Shareholder Services • Fund Accounting • Custody Services • Securities Lending Services • Distribution Services • Daily Resource to Fund CCO, Fund Board, Advisor • Provide USBFS/USB Critical Procedures & Compliance Controls • Daily and Periodic Reporting • Periodic CCO Conference Calls • Dissemination of Industry/Regulatory Information • Client & Business Line CCO Education & Training • Due Diligence Review of USBFS Service Facilities • Quarterly USBFS Certification • Board Meeting Presentation and Board Support • Testing, Documentation, Reporting Annual Fee Schedule* · $1,200 per service per year Fees are billed monthly. *Subject to annual CPI increase, Milwaukee MSA. Fees are billed monthly. Amended Schedule C – Distribution Agreement – FactorShares Trust ISE Cyber Security ETF at October, 2014 Base Fee (1) for Quasar Distributors, LLC Regulatory Distribution Services- The following reflects the greater of the basis point fee or minimum per fund- Quasar Distributors Basis Points on AUM per Fund Annual Minimum per Fund $0-500m +$500m +$1b $__ __ __ __ Note: MLP Funds pricing may vary from the above annual fees and are TBD per investment strategy The Following Services/Fees are in Addition to the Base Fee- Standard Advertising Compliance Review § $__ per communication piece for the first __pages (minutes if audio or video); $__/page (minute if audio or video) thereafter.

Appears in 1 contract

Samples: Distribution Agreement (FactorShares Trust)

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