Market Timing and Frequent Trading Clause Samples

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Market Timing and Frequent Trading. 13.1 TD Ameritrade agrees to cooperate with Fund Company to identify and discourage shareholders whose transactions violate Fund policies established for the purpose of eliminating or reducing dilution of the value of Shares issued by the Fund. At Fund Company’s request (a “Shareholder Information Request”), TD Ameritrade agrees to provide promptly to Fund Company, for itself and on behalf of the appropriate Fund, the taxpayer identification number (“TIN”), if known, of any or all TD Ameritrade clients who purchased, redeemed, exchanged or transferred Fund Shares in or for an Account (“Shareholder Identification Information”). TD Ameritrade will also provide the amount, date, and transaction type (purchase, redemption, exchange, or transfer) of every Shareholder Information Request (“Shareholder Transaction Information”). TD Ameritrade further agrees that at Fund Company’s request, it will use its best efforts to determine whether the subject of a Shareholder Information Request is itself a financial intermediary as that term is defined by Rule 22c-2 of the 1940 Act, as amended, subject to the exclusions in that Rule (“Financial Intermediary”). Should Fund Company, on behalf of a Fund, so request, TD Ameritrade will use its best efforts to furnish Fund Company with Shareholder Identification Information and Shareholder Transaction Information about other shareholders who hold an account with such Financial Intermediary. TD Ameritrade will also use commercially reasonable efforts to restrict or prohibit the Financial Intermediary from purchasing Shares of the Funds in the Fund Group for itself or on behalf of other persons, should Fund Company so request. 13.2 TD Ameritrade agrees that it will execute any instruction from the Funds to restrict or prohibit further purchases or exchanges of Shares by a shareholder who has been identified by the Fund as having engaged in transactions of Shares (directly or indirectly through the Financial Intermediary’s account) that violate policies established by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding securities issued by the Fund. 13.3 Upon written request from Fund Company, TD Ameritrade shall provide Fund Company with an annual assurance of its compliance with this section 13 and applicable market timing and frequent trading regulations.
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Market Timing and Frequent Trading. The Transfer Agent will assist other Trust service providers as necessary in the implementation of the Trust’s market timing and frequent trading policies adopted by the Board of Trustees, as set forth in the Prospectus, including maintaining policies and procedures designed (i) to ensure compliance with Rule 22c-2 and (ii) to review omnibus accounts that invest in the Funds from time to time, as appropriate, to determine whether the intermediary is adhering to Trust policies governing excessive frequent trading.
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Related to Market Timing and Frequent Trading

  • Secondary Market Trading and Standard & Poor’s If the Company does not maintain the listing of the Public Securities on Nasdaq or another national securities exchange, the Company will (i) apply to be included in Standard & Poor’s Daily News and Corporation Records Corporate Descriptions for a period of five years from the consummation of a Business Combination, (ii) take such commercially reasonable steps as may be necessary to obtain a secondary market trading exemption for the Company’s securities in the State of California and (iii) take such other action as may be reasonably requested by the Representative to obtain a secondary market trading exemption in such other states as may be requested by the Representative; provided that no qualification shall be required in any jurisdiction where, as a result thereof, the Company would be subject to service of general process or to taxation as a foreign corporation doing business in such jurisdiction.

  • Secondary Market Trading In the event the Public Securities are not listed on the Nasdaq Capital Market or another national securities exchange, the Company will (i) apply to be included in Mergent, Inc. Manual for a period of five (5) years from the consummation of a Business Combination, (ii) take such commercially reasonable steps as may be necessary to obtain a secondary market trading exemption for the Company’s securities in such jurisdictions and (iii) take such other action as may be reasonably requested by the Representative to obtain a secondary market trading exemption in such other states as may be requested by the Representative; provided that no qualification shall be required in any jurisdiction where, as a result thereof, the Company would be subject to service of general process or to taxation as a foreign entity doing business in such jurisdiction.

  • Secondary Market Transactions Each Purchaser shall have the right at any time and from time to time to securitize its Subordinated Notes or any portion thereof in a single asset securitization or a pooled loan securitization of rated single or multi-class securities secured by or evidencing ownership interests in the Subordinated Notes (each such securitization is referred to herein as a “Secondary Market Transaction”). In connection with any such Secondary Market Transaction, Company shall, at Company’s expense, cooperate with Purchasers and otherwise reasonably assist Purchasers in satisfying the market standards to which Purchasers customarily adhere or which may be reasonably required in the marketplace or by applicable rating agencies in connection with any such Secondary Market Transaction. Subject to any written confidentiality obligation, all information regarding Company may be furnished, without liability except in the case of gross negligence or willful misconduct, to any Purchaser and to any Person reasonably deemed necessary by Purchaser in connection with participation in such Secondary Market Transaction. All documents, financial statements, appraisals and other data relevant to Company or the Subordinated Notes may be retained by any such Person.

  • Project Monitoring Reporting and Evaluation The Recipient shall furnish to the Association each Project Report not later than forty-five (45) days after the end of each calendar semester, covering the calendar semester.

  • Trading Cushion The Selling Period for any previous Issuance Notice shall have expired.