Government and Agency Securities. Any Primary Broker-Dealer's bid rate for such security Prices shall be as of the business day immediately preceding the date of determination or the last quote available. The pricing services, Brokers' Brokers and Broker Dealers may be changed from time to time by agreement of all the parties. SCHEDULE C AUTHORIZED PERSONS Repo Custodian Xxxxxxx Xxxxx Xxxxxxx Xxxxxxx Xxxxxxx Xxxxx Xxxxxxxx Xxxxxxx Xxxx Xxxx Xxxxx X. Xxxxx Custodian Xxx Xxxxxx Xxxx Xxxxxxx Seller Xxxx X. Xxxxxxxx Xxxxxx X. Xxxxxx Xxxxxxx X. Xxxx Xxxxxxx X. Xxxxxxxx P. Xxxxxxx Xxxxxx Xxx Xxxxxxxxx Xxxxx X. Xxxxxxx Xxxxxx X. Xxxxxxx Xxx Xxxxxxxx The Funds Xxxxxx Xxxxxx Xxxxxxxxx Xxxxxx Xxxxxxx Xxxx Xxxxx Xxxxxx Xxxxxxxx Xxxxxx Xxxxxxx Xxxxx Xxx Xxxxx Xxxxxx Xxxxxxxx Xxx Silver Xxxxxxx Xxxxxxx Xxxxxxx St. Xxxxxx Xxxxxxx Xxxx Xxxx Xxxx Xxxxxx Xxxxxx Xxxxxxx Xxxxxxxx SCHEDULE D
Government and Agency Securities. Any Primary Broker-Dealer's bid rate for such security Prices shall be as of the business day of the date of determination or the last quote available. The pricing services, Brokers' Brokers and Broker Dealers may be changed from time to time by agreement of all the parties. SCHEDULE C AUTHORIZED PERSONS Repo Custodian Xxx Xxxxxx Xxxx Xxxxxxx Custodian Xxx Xxxxxx Xxxx Xxxxxxx Seller Xxxxxx X. Xxxxxxxx Xxxxxxx X. Xxxxx Xxxxxx X. Xxxxx Xxxxxxx Xxxxx Xxxxx Xxxxxxxx Xxxxxx X. Xxxxxxxxx Xxxxxxxxxxx Xxxxxxx Xxxxxx Xxxxxxx Xxxxxx X. XxXxx Xxxx X. Xxxxxxxx Xxxx X. Xxxxxxxxxx Xxxxx Xxxxx, XX The Funds Xxxxxx, Xxxxxx X. Xxxxxx, Xxxxxxxx X. Xxxxxxx, Xxxxxxx X. Xxxxxxx, Xxxx X. Xxxxxxx, Xxxxxxxxx X. Xx. Xxxx, Xxxxxxx Xxxxxx, Xxxxx Xxxxx, Xxxxxxx Xxxx, Xxxx X. Xxxx, Xxxxxx X. Xxxxx, Xxx Xxxxxx, Xxxxxx X. Xxxx, Xxxxxxx X. Xxxxxxxx, Xxxxxx Xxxxxxxx, Xxxxxxx Xxxxxx, Xxxxx Xxxxxx, Xxxxxx Xxxxxxx, Xxxxx SCHEDULE D NOTICES If to Custodian: The Bank of New York Xxx Xxxx Xxxxxx, 0xx Xxxxx Xxx Xxxx, XX 00000 Telephone: (000) 000-0000 Attention: Xxxxxxx Xx, Esq. With a copy to the Fund Agent If to Repo Custodian: The Bank of New York Xxx Xxxx Xxxxxx, 0xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 Telephone: (000) 000-0000 Attention: Ms. Xxxxxxx Xxxxx If to Seller: X.X. Xxxxxx Securities Inc. 00 Xxxx Xxxxxx Xxx Xxxx, Xxx Xxxx 00000 Telephone: (000) 000-0000 Attention: Middle Office Traders Support If to any of the Funds: FMR Texas Inc. 000 Xxxx Xxx Xxxxxxx Xxxx., XX0X Xxxxxx, Xxxxx 00000 Telephone: (000) 000-0000 Attention: Xx. Xxxxxxx X. Todd or Mr. Xxxxxx Xxxxxx If to the Fund Agent: Fidelity Investments Fidelity Small Cap Retirement Fund 000 Xxxx Xxx Xxxxxxx Xxxx., XX0X Xxxxxx, Xxxxx 00000 Telephone: (000) 000-0000 Attention: Mr. Xxxx Mufler 277282.c1
Government and Agency Securities. Any Primary Broker-Dealer's bid rate for such security Prices shall be as of the business day of the date of determination or the last quote available. The pricing services, Brokers' Brokers and Broker Dealers may be changed from time to time by agreement of all the parties. SCHEDULE C
Government and Agency Securities. A debt security issued by the United States Treasury Department or an agency created and sponsored by the United States government. MORTGAGE-BACKED SECURITIES Ownership claim in a pool of mortgages or an obligation that is secured by such a pool. AGENCY CMOs Securitization of a pool of first liens on residential properties backed by GNMA, FNMA or FHLMC into at least two classes or tranches. NON-AGENCY CMOs Securitization of a pool of first liens on residential mortgages which do not conform to agency (GNMA, FNMA or FHLMC) underwriting guidelines, or a pool of commercial loans into at least two classes or tranches. AGENCY PASS THROUGHS Securitization of a pool of first liens on residential properties backed by GNMA, FNMA or FHLMC into one class, which pays monthly interest and principal passed directly from the debtor to the investor through an intermediary. SUPPORT TRANCHES CMO classes that receive principal payments only after scheduled payments have been made on specified PAC, TAC and/or Scheduled bonds for each payment date. ASSET-BACKED SECURITIES Securitization of a pool of collateral into at least two classes or tranches. Acceptable collateral includes auto loans, credit card receivables, home-equity loans or manufactured housing loans. CORPORATE DEBT Debt which is registered with the SEC and issued by either a corporation or a public utility. 144A Private unregistered security issued under SEC Rule 144A. PRIVATE PLACEMENTS Privately negotiated debt transactions between an issuer and buyer. FOREIGN DEBT Debt issued by a legal entity incorporated outside of the United States. Only U.S. dollar denominated securities are permitted. NON-INVESTMENT GRADE SECURITIES A security with a credit quality rating of BB or lower. Only securities currently rated at least BB/NAIC "3" are permitted. CASH AND CASH EQUIVALENTS Short-term debt such as listed below, with a stated maturity within 270 days from date of purchase: - U.S. Government or agency securities - Certificates of deposit - Commercial paper - Bankers acceptances - Repurchase agreements - Corporate debt rated AA or better - Money market funds - Loan participation notes ADDITIONAL DEFINITIONS Newly issued and TBA securities as well as extended settlements on purchases of permitted securities are explicitly allowed as long as the securities involved otherwise comply with these stated investment guidelines. Such transactions are not considered to be forward contacts.
Government and Agency Securities. Any Primary Broker-Dealer's bid rate for such security Prices shall be as of the business day of the date of determination or the last quote available. The pricing services, Brokers' Brokers and Broker Dealers may be changed from time to time by agreement of all the parties. SCHEDULE C AUTHORIZED PERSONS Repo Custodian Custodian Seller The Funds SCHEDULE D NOTICES If to Custodian: The Bank of New York Xxx Xxxx Xxxxxx, 0xx Xxxxx Xxx Xxxx, XX 00000 Telephone: (000) 000-0000 Attention: Xxxxxxx Xx, Esq. With a copy to the Fund Agent If to Repo Custodian: The Bank of New York Xxx Xxxx Xxxxxx, 0xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 Telephone: (000) 000-0000 Attention: Ms. Xxxxxxx Xxxxx If to Seller: X.X. Xxxxxx Securities Inc. 00 Xxxx Xxxxxx Xxx Xxxx, Xxx Xxxx 00000 Telephone: (000) 000-0000 Attention: Middle Office Traders Support If to any of the Funds: FMR Texas Inc. 000 Xxxx Xxx Xxxxxxx Xxxx., XX0X Xxxxxx, Xxxxx 00000 Telephone: (000) 000-0000 Attention: Xx. Xxxxxxx X. Todd or Mr. Xxxxxx Xxxxxx If to the Fund Agent: Fidelity Investments [Name of Fund] 000 Xxxx Xxx Xxxxxxx Xxxx., XX0X Xxxxxx, Xxxxx 00000 Telephone: (000) 000-0000 Attention: Mr. Xxxx Mufler 277282.c1
Government and Agency Securities. Sovereign Debt/ EuroClear/CEDEL eligible; Euro Bonds; Corporate Bonds; Convertible Bonds; Municipal Securities; High Yield Corporate Bonds. Euro and Xxxxx Xxxx transactions should be submitted to Xxxx Xxxxxx for comparison. Our number is (212) 693- ; FAX (212) 693- ; Confirmations should be sent to Refco Securities, LLC, Attn: Xxxx Xxxxxx, World Financial Center, 000 Xxxxxxx Xxxxxx, Xxxxx X, Xxx Xxxx, X.X. 00000-0000. Mortgage trades should be submitted to Xxx Xxxxxxx for comparison. Our number is (212) 693- ; FAX (212) 693- ; Confirmations of such trades should be sent to Refco Securities, LLC, Attn: Xxx Xxxxxxx, World Financial Center, 000 Xxxxxxx Xxxxxx, Xxxxx X, Xxx Xxxx, X.X. 00000-0000. Government trades should be submitted to Xxxxxxxx Xxxxxx for comparison. Our number is (212) 693- ; Confirmations of such trades should be sent to: Refco Securities, LLC, Attn: Xxxxxxxx Xxxxxx, World Financial Center, 000 Xxxxxxx Xxxxxx, Xxxxx X, Xxx Xxxx, X.X. 00000-0000. Corporate and Equity transactions should be submitted to Xxxx Xxxxxxxx for comparison. Our number is (212) 693- ; FAX (212) 693- ; Confirmations should be sent to Refco Securities, LLC, Attn: World Financial Center, 000 Xxxxxxx Xxxxxx, Xxxxx X, Xxx Xxxx, X.X. 00000-0000. Attached please find a complete list of all delivery instructions. Exhibit C --------- Attached is a list of reports offered to Maxcor Financial Inc. to assist Maxcor to supervise and monitor its introduced accounts in order for Maxcor to carry out its functions and responsibilities. Yes No Price Broker Registration Tracking System ____ ____ And /or Blue Sky Validation Reports ____ ____ $600 per month Trade Blotter ____ ____ $500 per month Mutual Fund Switch Supervision ____ ____ $200 per month Options Exceptions Report ____ ____ $200 per month Active Accounts Report ____ ____ $200 per month Anti-Money Laundering Reports ___ ____ FREE Incomplete and Missing Client Profile ____ ____ FREE Maxcor understands that Refco will not be reviewing any of the exception reports and/or systems for any purpose and that Maxcor is responsible for using these systems and reports to help comply with Maxcor's statutory and regulatory responsibilities. Please supply the following names: Designated Examining Authority: ______________________________ Chief Executive Officer: ______________________________ Chief Compliance Officer: ______________________________ Exhibit D --------- Refco hereby represents that it maintains, and shall enforce, written supe...
Government and Agency Securities b. Money market instruments; repurchase agreements, commercial paper, certificates of deposit, bank obligations, Eurodollar certificates of deposit, and approved money market funds.
Government and Agency Securities. A debt security issued by the United States Treasury Department or an agency created and sponsored by the United States government. AGENCY CMOs Securitization of a pool of first liens on residential properties backed by GNMA, FNMA or FHLMC into at least two classes or tranches. Securitization of a pool of first liens on residential mortgages which do not conform to agency (GNMA, FNMA or FHLMC) underwriting guidelines, or a pool of commercial loans into at least two classes or tranches. SUPPORT TRANCHES CMO classes that receive principal payments only after scheduled payments have been made on specified PAC, TAC and/or Scheduled bonds for each payment date. ASSET-BACKED SECURITIES Securitization of a pool of collateral into at least two classes or tranches. Acceptable collateral into includes auto loans, credit card receivables, home-equity loans, manufactured housing loans or Additional Securities.
Government and Agency Securities. Except as specifically modified by this Addendum, the Agreement shall continue in full force and effect as originally stated therein. Ohio National Fund, Inc. BY: /s/ DONAXX X. XXXXXXXXX ------------------------- TITLE: President DATE: 1-3-1997 STAR BANK, NATIONAL ASSOCIATION BY: /s/ DARYX X. XXXLE ------------------------- TITLE: Vice President DATE: 1-9-97 ACCOUNT NAME ACCOUNT NUMBER ------------ -------------- OHIO NATIONAL FUND, INC. EQUITY PORTFOLIO 19-6553 OHIO NATIONAL FUND, INC. MONEY MARKET PORTFOLIO 19-6554 OHIO NATIONAL FUND, INC. BOND PORTFOLIO 19-6555 OHIO NATIONAL FUND, INC. OMNI PORTFOLIO 19-6556 OHIO NATIONAL FUND, INC. CAPITAL APPRECIATION PORTFOLIO 19-6557 OHIO NATIONAL FUND, INC. SMALL CAP PORTFOLIO 19-6558 OHIO NATIONAL FUND, INC. AGGRESSIVE GROWTH PORTFOLIO 19-6559 OHIO NATIONAL FUND, INC. CORE GROWTH PORTFOLIO 19-6560 OHIO NATIONAL FUND, INC. GROWTH & INCOME PORTFOLIO 19-6561 OHIO NATIONAL FUND, INC. S&P 500 INDEX PORTFOLIO 19-6562 OHIO NATIONAL FUND, INC. SOCIAL AWARENESS PORTFOLIO 19-6563 OHIO NATIONAL FUND, INC. STRATEGIC INCOME PORTFOLIO 19-6564 OHIO NATIONAL FUND, INC. STELLAR PORTFOLIO 19-6565 OHIO NATIONAL FUND, INC. RELATIVE VALUE PORTFOLIO 19-6566
Government and Agency Securities b. Money market instruments; repurchase agreements, commercial paper, certificates of deposit, bank obligations, Eurodollar certificates of deposit, and approved money market funds. c. High Quality Corporate bonds, including Eurodollar issues of U.S. corporations, and U.S. dollar denominated issues of foreign corporations. d. Municipal securities e. Floating rate securities without interest rate caps. f. Asset-backed securities. g. Foreign government and provincial securities, and securities of international agencies that are U.S. dollar denominated. h. Mortgage-backed securities, including collateralized mortgage obligations (CMOs).
