Rule 22c-2 definition

Rule 22c-2 means Rule 22c-2 of the SEC promulgated under the 1940 Act.
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Rule 22c-2 or “Rule” means Rule22c-2 under the Investment Company Act of 1940.
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Rule 22c-2 means Rule 22c-2 of the SEC promulgated under the 1940 Act. Confidential And Proprietary Execution Version
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Examples of Rule 22c-2 in a sentence

  • For purposes of this provision, an “indirect intermediary” has the same meaning as in SEC Rule 22c-2 under the Investment Company Act.

  • SEC Rule 22c-2 inadvertently refers to the ITIN as the International Taxpayer Identification Number.

  • The Fund agrees not to use the information received pursuant to this Amendment for any purpose other than as necessary to comply with the provisions of Rule 22c-2 or to fulfill other regulatory or legal requirements subject to the privacy provisions of Title V of the ▇▇▇▇▇-▇▇▇▇▇-▇▇▇▇▇▇ Act (Public Law 106-102) and comparable state laws.

  • Enter into agreements, on behalf of the Fund, with Intermediaries who hold shares in omnibus accounts for purposes of compliance with Rule 22c-2 of the ’40 Act (“Shareholder Information Agreements”) unless such intermediary enforces the Funds’ excessive trading policy or an acceptable alternative policy or has accounts that are otherwise exempt from the policy.

  • The Fund agrees not to use the information received pursuant to this Agreement for any purpose other than as necessary to comply with the provisions of Rule 22c-2 or to fulfill other regulatory or legal requirements subject to the privacy provisions of Title V of the ▇▇▇▇▇-▇▇▇▇▇-▇▇▇▇▇▇ Act (Public Law 106-102) and comparable state laws.

  • Rule 22c-2 under the 1940 Act requires that a fund’s principal underwriter or transfer agent enter into a shareholder information agreement with any financial intermediary or its agent where, through itself or its agent, purchases or redeems shares directly from a fund, its principal underwriter or transfer agent, or through a registered clearing agency.

  • For purposes of this provision, an “indirect intermediary” has the same meaning as in SEC Rule 22c-2 under the 1940 Act.

  • To the extent the terms of this Agreement conflict with the terms of a Participation Agreement with regard to the requirements of Rule 22c-2, the terms of this Agreement shall control.

  • Both Parties mutually agree to act in good faith, utilizing their best efforts to timely and effectively execute the shareholder information sharing provisions of Rule 22c-2.

  • For purposes of this provision, an “indirect intermediary” has the same meaning as in Rule 22c-2.


More Definitions of Rule 22c-2

Rule 22c-2. The following provisions apply to any Intermediary that has established an account with a Fund and submits trades on behalf of its customers through an omnibus account. In such instances the Fund will not administer its frequent trading policies or redemption fee policies (if applicable) at the Fund account level.
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Related to Rule 22c-2