OBLIGATIONS OF PARTICIPANT. (a) Pursuant to its obligations under the federal securities laws, the Participant agrees to maintain all books and records of all sales of Shares made by or through it and to furnish copies of such records to the Trust, [Transfer Agent/Index Receipt Agent] and/or the Distributor upon their reasonable request.
Appears in 32 contracts
Samples: Authorized Participant Agreement (Palmer Square Funds Trust), Authorized Participant Agreement (Advisor Managed Portfolios), Authorized Participant Agreement (SP Funds Trust)
OBLIGATIONS OF PARTICIPANT. (a) Pursuant to its obligations under the federal securities laws, the Participant agrees to maintain all books and records of all sales of Shares made by or through it and to furnish copies of such records to the Trust, [Transfer Agent/Index Receipt Agent] Agent and/or the Distributor upon their reasonable request.
Appears in 23 contracts
Samples: Authorized Participant Agreement (Alger ETF Trust), Authorized Participant Agreement (Calamos ETF Trust), Authorized Participant Agreement (Madison ETFs Trust)
OBLIGATIONS OF PARTICIPANT. (a) Pursuant to its obligations under the federal securities laws, the Participant agrees to maintain all books and records of all sales of Shares made by or through it and to furnish copies of such records to the TrustFund, [Transfer Agent/Index Receipt Agent] Agent and/or the Distributor upon their reasonable request.
Appears in 13 contracts
Samples: Administration Agreement (Capital Group New Geography Equity ETF), Administration Agreement (Capital Group Conservative Equity ETF), Administration Agreement (Capital Group International Core Equity ETF)
OBLIGATIONS OF PARTICIPANT. (a) Pursuant to its obligations under the federal securities laws, the Participant agrees to maintain all books and records of all sales of Shares made by or through it and to furnish copies of such records to the Trust, [Transfer Agent/Index Receipt Agent] Agent and/or the Distributor upon their reasonable request.
Appears in 11 contracts
Samples: Authorized Participant Agreement (Roundhill ETF Trust), Authorized Participant Agreement (Hennessy Funds Trust), Authorized Participant Agreement (Hennessy Funds Trust)
OBLIGATIONS OF PARTICIPANT. (a) Pursuant to its obligations under the federal securities laws, the Participant agrees to maintain all books and records of all sales of Shares made by or through it and to furnish copies of such records to the Trust, [Transfer Agent/Index Receipt Agent] Agent and/or the Distributor upon their reasonable request.
Appears in 7 contracts
Samples: Authorized Participant Agreement (Investment Managers Series Trust II), Authorized Participant Agreement (Investment Managers Series Trust II), Authorized Participant Agreement (Investment Managers Series Trust II)
OBLIGATIONS OF PARTICIPANT. (a) Pursuant to its obligations under the federal securities laws, the The Participant agrees to maintain all books and records of all sales of Fund Shares made by or through it pursuant to its obligations under the federal securities laws and to furnish copies of such records to the Trust, [Transfer Agent/Index Receipt Agent] Agent and/or the Distributor upon their reasonable request.
Appears in 2 contracts
Samples: Authorized Participant Agreement (John Hancock Exchange-Traded Fund Trust), Authorized Participant Agreement (Eaton Vance NextShares Trust)
OBLIGATIONS OF PARTICIPANT. (a) Pursuant to its obligations under the federal securities laws, the Participant agrees to maintain all books and records of all sales of Shares made by or through it and to furnish copies of such records to the Trust, [Transfer Agent/Index Receipt Agent] Agent and/or the Distributor upon their written reasonable requestrequest for regulatory or compliance purposes, to the extent permitted by applicable privacy and consumer protection laws and contractual confidentiality obligations.
Appears in 1 contract
Samples: Authorized Participant Agreement (Dynamic Shares Trust)
OBLIGATIONS OF PARTICIPANT. (a) Pursuant to its obligations under the federal securities laws, the Participant agrees to maintain all books and records of all sales of Shares made by or through it as required by law and to furnish copies of such records to the Trust, [Transfer Agent/Index Receipt Agent] Agent and/or the Distributor upon their reasonable request.This paragraph (a) shall survive the termination of this Agreement.
Appears in 1 contract
Samples: Authorized Participant Agreement (Engine No. 1 ETF Trust)
OBLIGATIONS OF PARTICIPANT. (a) Pursuant to its obligations under the federal securities laws, the Participant agrees to maintain all books and records of all sales of Shares made by or through it and to furnish copies of such records to the TrustCompany, [Transfer Agent/Index Receipt Agent] Agent and/or the Distributor upon their reasonable request.
Appears in 1 contract
OBLIGATIONS OF PARTICIPANT. (a) Pursuant to its obligations under the federal securities laws, the Participant agrees to maintain all books and records of all sales of Shares made by or through it and to furnish copies of such records to the Trust, [Transfer Agent/Index Receipt Agent] Agent and/or the Distributor upon their reasonable request, subject to redaction for any privacy obligations owed to its clients, as applicable to such client.
Appears in 1 contract
Samples: Authorized Participant Agreement (American Beacon Select Funds)
OBLIGATIONS OF PARTICIPANT. (a) Pursuant to its obligations under the federal securities laws, the Participant agrees to maintain all books and records of all sales of Shares made by or through it and to furnish copies of such records to the TrustCompany, [Transfer Agent/Index Receipt Agent] Agent and/or the Distributor upon their reasonable request.
Appears in 1 contract
Samples: Authorized Participant Agreement (AB Active ETFs, Inc.)
OBLIGATIONS OF PARTICIPANT. (a) Pursuant to its obligations under the federal securities laws, the The Participant agrees to maintain all books and records of all sales of Shares made by or through it and to furnish copies of such records to the Trust, [Transfer Agent/Index Receipt Agent] and/or Trust or the Distributor upon their reasonable request, subject to any privacy, confidentiality, or other obligations Participant may have to its customers arising under federal or state securities laws or the applicable rules of any self-regulatory organization.
Appears in 1 contract
Samples: Exchange Listed Funds Trust Authorized Participant Agreement (Exchange Listed Funds Trust)
