| Goods and Services | Shareholder services to mutual funds and mutual fund companies, namely, bill payment in the nature of authorizing payment of approved expenses of the fund, disbursement and reinvestment of dividends for third parties, payment processing for Individual Retirement Account (IRA) purchases, transfers, withdrawals and rollovers, reconciling fund assets financial transactions with the mutual fund custodian, providing shareholders with account financial information via the internet and interactive voice response system, serving as fund's underwriter in the nature of securities underwriting for mutual funds and qualifying as broker-dealer in the nature of business brokerage services, and mutual fund distribution of fees and transaction based commissions, management of capital fund's distribution activities; investment management; financial services, namely, investment fund transfer and transaction services; transfer agency services rendered to issuers of investment securities; hedge fund investment services; brokerage of shares and other securities; mutual fund brokerage; mutual fund distribution; financial investment services, namely, administering the issuance, underwriting and distribution of securities; financial analysis for businesses |
| Goods and Services | Business management and consultation services for others, namely, providing fund organization services to mutual funds and mutual fund companies in the nature of business operation consultation, financial statement analysis for businesses, business assistance in the field of budgeting, vendor selection in the nature of registering, screening and verifying the credentials of third-party vendors on behalf of others, product pricing in the nature of providing pricing information about the goods of others via the global computer network, preparation and filing of financial statements with the Securities and Exchange Commission (SEC) and responding to SEC comments, business coordination and preparation of board of trustees' materials for organizational meetings, office functions in the nature of filing of documents necessary to qualify funds for sale in various states, coordination of prospectus printing, namely, copying of documents for others, and management services in the nature of business development services, namely, providing start-up support for business of others in the nature of applying for fund's federal taxpayer identification number, a uniform security identification procedures number and ticker symbol; business management and consultation services for others, namely, providing fund business administration to mutual funds and mutual fund companies in the nature of day-to-day business management and supervision of fund operations and coordination of custody, transfer agent, distribution, accounting and pricing services, providing officers for the fund in the nature of professional staffing services, preparation and maintenance of business reports regarding fund expense projections, report expense projections and variances to fund management, acting as a liaison with the fund's independent accountants, custodian, outside counsel and board of trustees, namely, negotiation and settlement of commercial transaction for third parties, namely, for mutual fund companies, coordination, scheduling and preparation of business reports in the nature of materials for board of trustees' meetings, preparation and supervision of all SEC filings, preparation, filing and mailing of reports to shareholders, office functions in the nature of maintenance of books and records of ownership of stocks, shares and securities of mutual funds, assisting fund advisers in insurance compliance monitoring and examining for business purposes, and providing mutual fund sales tracking and reporting; business management and consultation services for others, namely, providing fund transfer agent services to mutual funds and mutual fund companies in the nature of bookkeeping, namely, maintaining necessary books and records required by the Investment Company Act of 1940, maintaining complete shareholder records for each shareholder account, administrative processing of purchase and redemption orders, establishing and maintaining business procedures and controls over elective shareholder transactions, providing business reports featuring comprehensive sales reporting, commission tracking and reporting and, financial record-keeping for regulatory compliance purposes, namely, assisting fund in Anti-Money Laundering (AML) compliance and professional staffing services, namely, providing an AML compliance officer and an identity theft prevention compliance officer; business management and consultation services for others, namely, accounting services to mutual funds and mutual fund companies in the nature of providing daily net asset value calculations, general ledger maintenance, financial and tax reporting, management reporting, tax compliance and fund performance reporting; business management and consultation services for others, namely, pricing services to mutual funds and mutual fund companies in the nature of business appraisals, namely, obtaining market prices for each security comprising the fund, calculating the fund's net asset value and providing business appraisals via transmittal to the securities exchanges and entities, accounting services, namely, calculating a daily cash figure for investment purposes for the investment advisor; business management and consultation services for others, namely, shareholder services to mutual funds and mutual fund companies in the nature of shareholder record keeping services, namely, providing and maintaining the necessary personnel and equipment records to receive and answer shareholder and dealer inquiries, acknowledging and responding to all shareholder correspondence in the nature of custom writing services comprising public relations and marketing materials for the financial industry, preparation and mailing confirmations for each shareholder transaction and periodic statements and preparing and mailing of tax forms for the IRS and shareholders; business management and consultation services for others, namely, providing fund organization services to mutual funds and mutual fund companies in the nature of facilitating establishment of relationships, namely, providing business advice and assistance to commercial entities regarding establishing business relationships with brokerage firms and other financial intermediaries, creating awareness of the fund through marketing and advertising services, business services in the nature of developing best practices for mutual fund companies, check processing service and invoicing services, namely, reviewing invoices for fees, and preparation of business reports to board of directors |
