Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund is registered.
Appears in 87 contracts
Samples: Transfer Agency Agreement (Cavanal Hill Funds), Transfer Agency Agreement (Miles Funds, Inc.), Transfer Agency Agreement (Access One Trust)
Compliance Reporting. a. (i) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Commission and the States states in which the Fund is Portfolios are registered.
Appears in 55 contracts
Samples: Transfer Agent and Shareholder Services Agreement (Investment House Funds), Transfer Agent and Shareholder Services Agreement (First Western Funds Trust), Shareholder Services Agreement (Investment House Funds)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States in which the Fund is registered.
Appears in 36 contracts
Samples: Transfer Agency Services Agreement (HSBC Funds), Transfer Agency Services Agreement (HSBC Portfolios), Transfer Agency Services Agreement (HSBC Advisor Funds Trust)
Compliance Reporting. a. (i) Provide reports to the Securities and Exchange Commission, Commission (the National Association of Securities Dealers “SEC”) and the States states in which the Fund is Funds are registered.
Appears in 25 contracts
Samples: Transfer Agent and Shareholder Services Agreement (Ultimus Managers Trust), Shareholder Services Agreement (Meehan Mutual Funds, Inc.), Transfer Agent and Shareholder Services Agreement (Ultimus Managers Trust)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Commission and the States in which the Fund is registeredFINRA.
Appears in 19 contracts
Samples: Services Agreement (Nushares ETF Trust), Services Agreement (Dimensional ETF Trust), Services Agreement (ETF Opportunities Trust)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, and the States in which the Fund is registered.
Appears in 17 contracts
Samples: Transfer Agency Agreement (Security Income Fund /Ks/), Transfer Agency Agreement (Security Equity Fund), Transfer Agency Agreement (Security Mid Cap Growth Fund)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Commission and the States states in which the Fund is registered.
Appears in 16 contracts
Samples: Boston Trust Walden Funds, Sub Transfer Agency Services Agreement (Diamond Hill Funds), Services Agreement (Hc Capital Trust)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Financial Industry Regulatory Authority, and the States in which the Fund is registered.
Appears in 12 contracts
Samples: Transfer Agency Agreement (Transparent Value Trust), The Transfer Agency Agreement (Transparent Value Trust), Transfer Agency Agreement (SBL Fund)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States in which the Fund is registered.
Appears in 11 contracts
Samples: Transfer Agency Agreement (Victory Portfolios II), Transfer Agency Agreement (Victory Portfolios II), Transfer Agency Agreement (Kensington Funds)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States states in which the Fund is registered.
Appears in 10 contracts
Samples: Master Services Agreement (Needham Funds Inc), Transfer Agency Agreement (TD Asset Management USA Funds Inc.), Master Services Agreement (Blue Fund Group)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund is Funds are registered.
Appears in 5 contracts
Samples: Transfer Agency Agreement (Coventry Group), Transfer Agency Agreement (Coventry Group), Transfer Agency Agreement (Coventry Group)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers FINRA and the States states in which the a Fund is registered.
Appears in 3 contracts
Samples: Transfer Agency Services Agreement (Mirae Asset Discovery Funds), Services Agreement (Mirae Asset Discovery Funds), Services Agreement (Mirae Asset Discovery Funds)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund each Portfolio is registered.
Appears in 2 contracts
Samples: Services Agreement (Usallianz Funds), Services Agreement (Usallianz Variable Insurance Products Trust)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Regulation, Inc. and the States in which the Fund is registered.
Appears in 2 contracts
Samples: Transfer Agency Agreement (Governor Funds), Transfer Agency Agreement (Governor Funds)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange CommissionSEC, the National Association of Securities Dealers Dealers, Inc. and the States states in which the Fund is registered.
Appears in 2 contracts
Samples: Master Services Agreement (Coventry Group), Master Services Agreement (Coventry Group)
Compliance Reporting. a. Provide reports to the Securities and Exchange CommissionSEC, the National Association of Securities Dealers ("NASD") and the States in which the Fund is Funds are registered.
Appears in 2 contracts
Samples: The Services Agreement (Gartmore Mutual Funds), Services Agreement (Gartmore Variable Insurance Trust)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States states in which the Fund is Funds are registered.
Appears in 2 contracts
Samples: Transfer Agent Servicing Agreement (Mercantile Mutual Funds Inc), Exhibit H (Mercantile Mutual Funds Inc)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States in which the Fund is registeredregistered or is required to file a form of notification.
Appears in 2 contracts
Samples: Sub Transfer Agency Agreement (Fifth Third Funds), Sub Transfer Agency Agreement (Fifth Third Funds)
Compliance Reporting. a. (a) *Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States (including abandoned property and escheatment reporting) in which the Fund is registered.
Appears in 2 contracts
Samples: Transfer Agency Agreement (Great Hall Investment Funds Inc), Transfer Agency Agreement (Tamarack Funds Trust)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Financial Industry Regulatory Authority, TFS and the States states in which the Fund fund is registered.
Appears in 2 contracts
Samples: Transfer Agency Agreement (Diversified Investors Funds Group Ii), Transfer Agency Agreement (Diversified Investors Funds Group)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States states in which the Fund is registered.
Appears in 2 contracts
Samples: Master Services Agreement (Greenwich Advisors Trust), Master Services Agreement (Commonwealth International Series Trust)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, ATIS and the States states in which the Fund fund is registered.
Appears in 2 contracts
Samples: Transfer Agency Agreement (Transamerica Investors Inc), Transfer Agency Agreement (Transamerica Investors Inc)
Compliance Reporting. a. (i) Provide reports to the Securities and Exchange Commission, Commission (the National Association of Securities Dealers "SEC") and the States states in which the Fund is Funds are registered.
Appears in 2 contracts
Samples: Transfer Agent and Shareholder Services Agreement (Ultimus Managers Trust), Agent and Shareholder Services Agreement (Broadmark Funds)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Financial Industry Regulatory Authority and the States states in which the Fund is registered.
Appears in 1 contract
Samples: Services Agreement (Aberdeen Funds)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund Company is registered.
Appears in 1 contract
Samples: Transfer Agency Agreement (First Eagle Fund of America Inc)
Compliance Reporting. a. (i) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Commission and the States states in which the Fund is Portfolios are registered, as requested or required.
Appears in 1 contract
Samples: Agent and Shareholder Services Agreement (Guerite Funds)
Compliance Reporting. a. (d) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States states in which the Fund is registered.
Appears in 1 contract
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund is registered.;
Appears in 1 contract
Compliance Reporting. a. (i) Provide reports to the U.S. Securities and Exchange Commission, Commission (the National Association of Securities Dealers “SEC”) and the States states in which the Fund is Funds are registered.
Appears in 1 contract
Samples: Transfer Agent and Shareholder Services Agreement (Walthausen Funds)
Compliance Reporting. a. (i) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Commission and the States states in which the Fund is Funds are registered.
Appears in 1 contract
Samples: Mutual Fund Services Agreement (Fairholme Funds Inc)
Compliance Reporting. a. (d) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, and the States in which the Fund is registered.
Appears in 1 contract
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States states in which the Fund is registered.;
Appears in 1 contract
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the each Fund is registered.
Appears in 1 contract
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund fund is registered.
Appears in 1 contract
Samples: Transfer Agency Agreement (Mma Praxis Mutual Funds)
Compliance Reporting. a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund Trust is registered.
Appears in 1 contract
Compliance Reporting. a. (a) Provide any required reports to the Securities and Exchange Commission, the National Association of Securities Dealers Financial Industry Regulatory Authority, and the States in which the Fund is registered.
Appears in 1 contract
Samples: Transfer Agency Agreement (Guggenheim Strategy Funds Trust)
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States in which the Fund is registeredregistered or makes notice filings.
Appears in 1 contract
Compliance Reporting. a. Provide Providing reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund is registered.
Appears in 1 contract
Compliance Reporting. a. a) Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers Dealers, Inc. and the States in which the Fund is registered.
Appears in 1 contract
Compliance Reporting. a. (a) Provide reports to the Securities and Exchange CommissionSEC, the National Association of Securities Dealers Dealers, Inc. and the States states in which the Fund is Funds are registered.
Appears in 1 contract
