Estimate Requirements. (a) The Estimate shall include such of the following information as is applicable, sufficient to demonstrate to the Province's reasonable satisfaction:
Estimate Requirements. (i) Dealer, or in the event that Dealer employs agents, Xxxxxx’s agent, agrees to notify Distributor of all orders individually or with a combined total per Fund, greater than the amount set by Distributor as listed in Schedule C, for all applicable Funds. Dealer shall provide the notice on the trade date of the order, prior to the telephone cut-off times of each respective Fund as listed in the Prospectus.
Estimate Requirements. For purposes of executing Section 2.c.(i). of the DEALER AGREEMENT between GUGGENHEIM FUNDS DISTRIBUTORS, LLC (the “Distributor”) and <DEALER FIRM>(the “Dealer”), the Distributor has determined the following: All orders individually or with a combined total greater than $250,000, are subject to the estimate requirements set forth in the aforementioned dealer agreement. The Distributor reserves the right to adjust the required estimate amount from time to time, as necessary. Distributor will promptly notify Dealer of any subsequent change in the required estimate amount. The Estimate Requirement does not apply with respect to orders for those Guggenheim Funds formerly known as the “Security Funds.” Agreed to and accepted by: GUGGENHEIM FUNDS DISTRIBUTORS, LLC <DEALER FIRM> Signature: ______________________________ Signature: ___________________________ Print Name: Print Name: Title: Title: Date: __________________________________ Date: _______________________________ SCHEDULE D DATED-__________ TO THE DEALER AGREEMENT DATED _____________ BETWEEN GUGGENHEIM FUNDS DISTRIBUTORS, LLC AND <DEALER FIRM> Each Guggenheim Fund is registered and its Shares are qualified for sale in the following states and jurisdictions as of-__________. Alabama Nebraska Arizona New Jersey Arkansas New York California Nevada Colorado New Mexico Connecticut North Carolina Delaware North Dakota Florida Ohio Georgia Oklahoma Hawaii Oregon Idaho Pennsylvania Illinois Puerto Rico Indiana Rhode Island Iowa South Carolina Kansas South Dakota Kentucky Tennessee Louisiana Texas Maine Utah Maryland Vermont Massachusetts Virginia Michigan Washington Minnesota West Virginia Mississippi Wisconsin Missouri Wyoming Montana District of Columbia Guam
Estimate Requirements. (i) Dealer, or in the event that dealer employs agents, dealer's agent, agrees to communicate directly to Rydex|SGI, all orders individually or with a combined total per fund, greater than the amount set by Rydex|SGI as listed in Schedule C, for all Rydex|SGI funds. Such communication must be made on the trade date of the order, prior to the telephone cut-off times of each respective fund as listed in the prospectus.
