Rules 17a Sample Clauses

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Rules 17a. 3 and 17a-4. The Agent shall maintain accurate and complete records with respect to services performed by the Agent in connection with the purchase and redemption of Shares. Such records shall be maintained in form reasonably acceptable to the Trust and in compliance with the requirements of Rules 17a-3 and 17a-4 under the Securities Exchange Act of 1934, as amended, pursuant to which any dealer of the Shares must maintain certain records. All such records maintained by the Agent shall be the property of such dealer and will be made available for inspection and use by the Trust or such dealer upon the request of either. The Agent shall file with the Securities and Exchange Commission and other appropriate governmental authorities, and furnish to the Trust and any such dealer copies of, all reports and undertakings as may be reasonably requested by the Trust or such dealer in order to comply with the said rules. If so requested by any such dealer, the Agent shall confirm to such dealer its obligations under this Section 10.2 by a writing reasonably satisfactory to such dealer.
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Rules 17a. 3 and 17a-4. The Shareholder Servicing Agent shall maintain accurate and complete records with respect to services performed by the Shareholder Servicing Agent in connection with the purchase and redemption of Class A Shares through the Distributor. Such records shall be maintained in a form reasonably acceptable to the Company and in compliance with the requirements of Rules 17a-3 and 17a-4 under the Securities Exchange Act of 1934, as amended, pursuant to which any dealer of Class A Shares must maintain certain records. All such records maintained by the Shareholder Servicing Agent shall be the property of the Distributor and will be made available for inspection and use by the Company or the Distributor upon the request of either. The Shareholder Servicing Agent shall file with the Securities and Exchange Commission and other appropriate governmental authorities, and furnish to the Company and the Distributor copies of, all reports and undertakings as may be reasonably requested by the Company or the Distributor in order to comply with such rules. If so requested by the Distributor, the Shareholder Servicing Agent shall confirm to the Distributor its obligations under this Section 10.2 by a writing reasonably satisfactory to the Distributor.
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Rules 17a. 3 and 17a-4. The Agent shall maintain accurate and complete records with respect to services performed by the Agent in connection with the purchase and redemption of Shares. The Agent hereby undertakes to permit examination of such records at any time or from time to time during business hours by examiners or other representatives of the SEC or other authorities and offices having regulatory authority over the Trust or any dealer of the Shares, and to furnish to such authorities and offices or the SEC at the location specified by any of them copies of any or all of such records as may be requested by any of them. Such records shall include the data and be maintained in the form and for the time periods specified in Schedule A attached hereto and incorporated herein by reference ("Schedule A"). Compliance by the Agent with the record keeping requirements specified in Schedule A and such reporting requirements, if any, as may be specified by the Trust, from time to time, shall be deemed to satisfy fully any obligation of the Agent hereunder to comply with Rules 17a-3 and 17a-4 under the Securities Exchange Act of 1934 pursuant to which any dealer of the Shares must maintain certain records and file reports or other documents. All such records maintained by the Agent pursuant to this Section 10.2 of this Agreement shall be the property of such dealer and will be made available for inspection and use by the Trust or such dealer upon the request of either of them. If so requested by any such dealer, the Agent shall confirm to such dealer its obligations under this Section 10.2 by a writing reasonably satisfactory to such dealer.
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Rules 17a. 3 and 17a-4. The Organization shall maintain accurate and --------------------- complete records with respect to services performed by the Organization in connection with the purchase and redemption of Shares. Such records shall be maintained in form reasonably acceptable to the Trust and in compliance with the requirements of all applicable laws, rules and regulations, including without limitation, Rules 17a-3 and 17a-4 under the Securities Exchange Act of 1934, as amended, pursuant to which any dealer of the Shares must maintain certain records. All such records maintained by the Organization shall be the property of such dealer and will be made available for inspection and use by the Trust or such dealer upon the request of either. The Organization shall file with the Securities and Exchange Commission and other appropriate governmental authorities, and furnish to the Trust and any such dealer copies of, all reports and undertakings as may be reasonably requested by the Trust or such dealer in order to comply with the said rules. If so requested by any such dealer, the Organization shall confirm to such dealer its obligations under this Section 10.2 by a writing reasonably satisfactory to such dealer.
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Rules 17a. 3 and 17a-4. The Shareholder Servicing Agent shall maintain accurate and complete records with respect to services performed by the Shareholder Servicing Agent in connection with the purchase and redemption of Shares through the Distributor. Such records shall be maintained in a form reasonably acceptable to the Company and in compliance with the requirements of Rules 17a-3 and 17a-4 under the Securities Exchange Act of 1934, as amended,
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Related to Rules 17a

  • RULES & REGULATIONS The Exhibitor must comply with the requirements of all Authorities and where applicable with all rules and regulations issued by the owner of the Venue in force at the time of the Exhibition. The Exhibitor undertakes to comply with the obligations and duties contained or referred to in the Contract including (without limitation) those contained or to be contained in the Exhibitors’ Manual. Exemptions from any of these obligations and duties may be granted at the Organisers’ discretion. No exemption given by the Organisers will be effective unless in writing. The Contract comprises these Terms and Conditions, the Exhibition Space Contract and the Exhibitors’ Manual) except as varied in writing signed by the parties.

  • Rules of NASD, etc ▇▇▇▇▇▇ will conform to the Rules of Fair Practice of the National Association of Securities Dealers, Inc. and the sale of securities laws of any jurisdiction in which it sells, directly or indirectly, any shares. ▇▇▇▇▇▇ also agrees to furnish to the Fund sufficient copies of any agreements or plans it intends to use in connection with any sales of shares in adequate time for the Fund to file and clear them with the proper authorities before they are put in use, and not to use them until so filed and cleared.

  • Model Rules of Procedure The procedure before the Panel shall be conducted in accordance with the Model Rules of Procedure set out in Annex 12 (Model Rules of Procedure). Exceptionally, the disputing Parties may agree on different rules to be applied by the Panel. 2. The Model Rules of Procedure are necessary for the good development of all the steps in this Chapter. In addition, these rules shall regulate the development of the procedure, pursuant to the following principles: (a) the procedures shall ensure the right to at least one hearing before the Panel, as well as the opportunity for each disputing Party to provide initial and rebuttal written submissions, and allow the use of any technological means to ensure its authenticity; and (b) the hearings before the Panel, the deliberations, as well as all the submissions and communications submitted during the hearings, shall be confidential.

  • Rules and Procedures The Benefit Society By-Laws will be amended to provide for a 6th Director with three Directors appointed by the Unions and three Directors appointed by the Corporation.

  • Rules of Procedure The proceedings and business of the Committee shall be governed by Robert's Rules of Order unless otherwise waived by the Committee.