EX-99.E 4 dex99e.htm DISTRIBUTION AGREEMENT Distribution Agreement

DISTRIBUTION AGREEMENT

AGREEMENT made as of this 1st day of January, 2011 between First American Investment Funds, Inc., a corporation organized under the laws of the State of Maryland (the “Fund”), and NUVEEN INVESTMENTS, LLC, a Delaware limited liability company (the “Underwriter”).

W I T N E S S E T H

In consideration of the mutual covenants hereinafter contained, it is hereby agreed by and between the parties hereto as follows:

1. The Fund hereby appoints the Underwriter its agent for the distribution of shares , par value $.0001 per share, including such series or classes of shares as may now or hereafter be authorized, (the “Shares”) in jurisdictions wherein Shares may legally be offered for sale; provided, however, that the Fund, in its absolute discretion, may: (a) issue or sell Shares directly to holders of Shares of the Fund upon such terms and conditions and for such consideration, if any, as it may determine, whether in connection with the distribution of subscription or purchase rights, the payment or reinvestment of dividends or distributions, or otherwise; and (b) issue or sell Shares at net asset value in connection with merger or consolidation with, or acquisition of the assets of, other investment companies or similar companies.

2. The Underwriter hereby accepts appointment as agent for the distribution of the Shares and agrees that it will use its best efforts to sell such part of the authorized Shares remaining unissued as from time to time shall be effectively registered under the Securities Act of l933 (“Securities Act”), at prices determined as hereinafter provided and on terms hereinafter set forth, all subject to applicable Federal and State laws and regulations and to the Articles of Incorporation and Bylaws of the Fund (the “Charter Documents”).

3. The Fund agrees that it will use its best efforts to keep effectively registered under the Securities Act for sale, as herein contemplated, such Shares as the Underwriter shall reasonably request and as the Securities and Exchange Commission shall permit to be so registered.

4. Notwithstanding any other provision hereof, the Fund may terminate, suspend, or withdraw the offering of the Shares, or Shares of any series or class, whenever, in its sole discretion, it deems such action to be desirable.

5. The Underwriter shall sell Shares to, or through, brokers, dealers, banks or other qualified financial intermediaries (hereinafter referred to as “dealers”), or others, in such manner not inconsistent with the provisions hereof and the then effective Registration Statement of the Fund under the Securities Act (and related Prospectus and Statement of Additional Information) as the Underwriter may determine from time to time, provided that no dealer, or other person, shall be appointed nor authorized to act as agent of the Fund without the prior consent of the Fund. The Underwriter shall have the right to enter into agreements with dealers of its choice for the sale of Shares and fix therein the portion of the sales charge which may be allocated to such dealers;


provided that the Fund shall approve the form of such agreements and shall evidence such approval by filing said form and any amendments thereto as attachments to this Agreement, which shall be filed as an exhibit to the Fund’s currently effective registration statement under the Securities Act. The current form of such agreements is attached hereto as Exhibit 1. Shares sold to dealers shall be for resale by such dealers only at the public offering price(s) set forth in the Fund’s then current Prospectus.

6. Shares offered for sale, or sold by the Underwriter, shall be so offered or sold at a price per Share determined in accordance with the then current Prospectus relating to the sale of Shares except as departure from such prices shall be permitted by the rules and regulations of the Securities and Exchange Commission. Any public offering price shall be the net asset value per Share plus a sales charge of not more than 5.75% of such public offering price. Shares may be sold at net asset value without a sales charge to such class or classes of investors or in such class or classes of transactions as may be permitted under applicable rules of the Securities and Exchange Commission and as described in the then current Prospectus of the Fund. The net asset value per Share of each series or class shall be calculated in accordance with the Charter Documents of the Fund and shall be determined in the manner, and at the time, set forth in the then current Prospectus of the Fund relating to such Shares.

7. The price the Fund shall receive for all Shares purchased from the Fund shall be the net asset value used in determining the public offering price applicable to the sale of such Shares. The excess, if any, of the sales price over the net asset value of Shares sold by the Underwriter as agent shall be retained by the Underwriter as a commission for its services hereunder. Out of such commission, the Underwriter may allow commissions or concessions to dealers in such amounts as the Underwriter shall determine from time to time. Except as may be otherwise determined by the Underwriter and the Fund from time to time, such commissions or concessions shall be uniform to all dealers.

8. The Underwriter shall issue and deliver, or cause to be issued and delivered, on behalf of the Fund such confirmations of sales made by it as agent, pursuant to this Agreement, as may be required. At, or prior to, the time of issuance of Shares, the Underwriter will pay, or cause to be paid, to the Fund the amount due the Fund for the sale of such Shares. Certificates shall be issued, or Shares registered on the transfer books of the Fund, in such names and denominations as the Underwriter may specify.

9. The Fund will execute any and all documents, and furnish any and all information, which may be reasonably necessary in connection with the qualification of the Shares for sale (including the qualification of the Fund as a dealer, where necessary or advisable) in such states as the Underwriter may reasonably request (it being understood that the Fund shall not be required, without its consent, to comply with any requirement which, in its opinion, is unduly burdensome).

 

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10. The Fund will furnish to the Underwriter, from time to time, such information with respect to the Fund and the Shares as the Underwriter may reasonably request for use in connection with the sale of Shares. The Underwriter agrees that it will not use or distribute, nor will it authorize dealers or others to use, distribute or disseminate, in connection with the sale of such Shares, any statements other than those contained in the Fund’s current Prospectus and Statement of Additional Information, except such supplemental literature or advertising as shall be lawful under Federal and State securities laws and regulations, and that it will furnish the Fund with copies of all such material.

11. The Underwriter shall order Shares from the Fund only to the extent that it shall have received purchase orders therefor. The Underwriter will not make, nor authorize any dealers or others, to make: (a) any short sale of Shares; or (b) any sale of Shares to any officer or director of the Fund, nor to any officer or trustee of the Underwriter, or of any corporation or association furnishing investment advisory, managerial, or supervisory services to the Fund, nor to any such corporation or association, unless such sales are made in accordance with the then current Prospectus relating to the sale of such Shares.

12. In selling Shares for the account of the Fund, the Underwriter will in all respects conform to the requirements of all Federal and State laws and the Rules of Fair Practice of the Financial Industry Regulatory Authority relating to such sales, and will indemnify and save harmless the Fund from any damage or expense on account of any wrongful act by the Underwriter or any employee, representative, or agent of the Underwriter. The Underwriter will observe and be bound by all the provisions of the Charter Documents of the Fund (and of any fundamental policies adopted by the Fund pursuant to the Investment Company Act of l940, notice of which shall have been given by the Fund to the Underwriter) which at the time in any way require, limit, restrict, prohibit or otherwise regulate any action on the part of the Underwriter.

13. The Underwriter will require each dealer to conform to the provisions hereof and of the Registration Statement (and related Prospectus and Statement of Additional Information) at the time in effect under the Securities Act with respect to the public offering price of the Shares, and neither the Underwriter nor any such dealer shall withhold the placing of purchase orders so as to make a profit thereby.

14. The Fund will pay, or cause to be paid, expenses (including the fees and disbursements of its own counsel) of any registration of Shares under the Securities Act, expenses of qualifying or continuing the qualification of the Shares for sale and, in connection therewith, of qualifying or continuing the qualification of the Fund as a dealer or broker under the laws of such states as may be designated by the Underwriter under the conditions herein specified, and expenses incident to the issuance of the Shares such as the cost of Share certificates, issue taxes, and fees of the transfer and shareholder service agent. The Underwriter will pay, or cause to be paid, all expenses (other than expenses which any dealer may bear pursuant to any agreement with the Underwriter) incident to the sale and distribution of the Shares issued or sold hereunder, including, without limiting the generality of the foregoing, all: (a) expenses of printing and distributing any Prospectus and

 

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Statement of Additional Information and of preparing, printing and distributing or disseminating any other literature, advertising and selling aids in connection with such offering of the Shares for sale (except that such expenses need not include expenses incurred by the Fund in connection with the preparation, printing and distribution of any report or other communication to holders of Shares in their capacity as such), and (b) expenses of advertising in connection with such offering. No transfer taxes, if any, which may be payable in connection with the issue or delivery of Shares sold as herein contemplated, or of the certificates for such Shares, shall be borne by the Fund, and the Underwriter will indemnify and hold harmless the Fund against liability for all such transfer taxes.

15. This agreement shall continue in effect until December 31, 2012, unless and until terminated by either party as hereinafter provided, and will continue from year to year thereafter, but only so long as such continuance is specifically approved, at least annually, in the manner required by the Investment Company Act of l940. Either party hereto may terminate this agreement on any date by giving the other party at least six months’ prior written notice of such termination, specifying the date fixed therefor. Without prejudice to any other remedies of the Fund in any such event, the Fund may terminate this agreement at any time immediately upon any failure of fulfillment of any of the obligations of the Underwriter hereunder.

16. This agreement shall automatically terminate in the event of its assignment, as such term is defined in the Investment Company Act of 1940.

17. Any notice under this agreement shall be in writing, addressed, and delivered or mailed, postage pre-paid, to the other party at such address as such other party may designate for the receipt of such notice.

 

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IN WITNESS WHEREOF, the Fund and the Underwriter have each caused this agreement to be executed on its behalf as of the day and year first above written.

 

  FIRST AMERICAN INVESTMENT FUNDS, INC.
  By  

/s/ Kathleen Prudhomme

   

Vice President

Attest:    

/s/ Beth Rood

   
Assistant Secretary    
  NUVEEN INVESTMENTS, LLC
  By  

/s/ Kevin McCarthy

   

Managing Director

Attest:    

/s/ Larry Martin

   
Assistant Secretary    

 

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LOGO

NUVEEN MUTUAL FUNDS

Dealer Distribution, Shareholder Servicing and Fee-Based Program Agreement

As principal underwriter of the various Nuveen Mutual Funds, and of any future such funds (collectively, the “Funds”), Nuveen Investments, LLC (the “Distributor”) invites you (a) to join a selling group for the distribution of shares of beneficial interest of the Funds (the “Shares”), and/or (b) if you offer a Fee-Based Program for financial planning, investment advisory and/or asset management services or provide such services to your clients in connection with the establishment of an investment account for which a comprehensive “wrap fee” charge is imposed (“Fee-Based Program”), to include select Funds in your Fee-Based Program. In consideration of the mutual covenants and agreements contained herein and other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged by all parties, the Distributor, as exclusive agent of the Funds, offers to sell you Shares and you agree to purchase Shares and/or provide the services described herein on the following terms:

 

1. In all sales of Shares to the public, you shall act as dealer for your own account or as agent for your customers, and in no transaction shall you have any authority to act as agent for any Fund, for us or for any other member of the selling group. If acting as agent for your customers, the customers in question are for all purposes your customers and not customers of the Distributor. We shall execute transactions for each of your customers only upon your authorization, it being understood in all cases that (a) you are acting as agent for the customer; (b) the transactions are without recourse against you by the customer; (c) as between you and the customer, the customer will have full beneficial ownership of the Shares; (d) each transaction is initiated solely upon the order of the customer; and (e) each transaction is for the account of the customer and not for your account.

 

2. Orders for purchase of Shares received from you shall be accepted by us only at the public offering price applicable to each order, as established in the summary prospectus (if available), statutory prospectus and statement of additional information of such Fund then in effect (including printed information subsequently issued by the appropriate Fund as information supplemental to such materials) (collectively, the “Prospectus”), subject to the discounts provided in such Prospectus. Upon receipt from you of any order to purchase Shares, we shall confirm to you in writing or by wire to be followed by a confirmation in writing, and, if applicable, we shall concurrently send to your customer a letter confirming such order, together with a copy of the appropriate Fund’s current summary prospectus (if available) or statutory prospectus. Additional communications may be forwarded to you from time to time. All orders are subject to acceptance or rejection by us in our sole discretion.

 

3. Members of the general public, including you and your customers, may purchase Shares, and you may offer and sell Shares to your customers, only at the public offering price determined in the manner described in the Prospectus of the appropriate Fund. Shares will be offered at a public offering price based upon the net asset value of such Shares plus, with respect to certain class(es) of Shares, either (1) a sales charge from which you shall receive a discount equal to a percentage of the applicable offering price as provided in the Prospectus or, (2) if applicable, a sales charge which, together with the amount of that sales charge to be retained by banks or bank-affiliated broker-dealers acting as agent for their customers, is set forth in the Prospectus. You may receive a distribution fee and/or a service fee with respect to certain class(es) of Shares for which such fees are applicable, as provided in the applicable Prospectus, which distribution fee and/or service fee shall be payable for such periods and at such intervals as are from time to time specified by us. Your placement of an order for Shares after the date of any notice of an amendment to this Agreement shall conclusively evidence your agreement to be bound thereby.

Reduced sales charges may also be available as a result of a cumulative discount or pursuant to a letter of intent. Further information as to such reduced sales charges, if any, is set forth in the appropriate Fund’s Prospectus. You agree to advise us promptly as to the amounts of any sales made by you to the public qualifying for reduced sales charges.


4. By accepting this Agreement, you agree:

 

  a) That you will purchase Shares only from us, and only to cover purchase orders already received from your customers, or for your own investment;

 

  b) That you will not withhold placing with us orders received from your customers so as to profit yourself as a result of such withholding; and

 

  c) That, with respect to the sale of Shares of Funds that offer multiple classes of Shares, you will comply with the terms of the Policies and Procedures with Respect to Sales of Multiple Classes of Shares, attached hereto as Exhibit A.

 

5. We will not accept from you any conditional orders for Shares.

 

6. Payment for Shares ordered from us shall be in New York clearing house funds and must be received by the Funds’ agent, Boston Financial Data Services (“BFDS”), attn: Nuveen Investor Services, 66 Brooks Drive, Braintree, Massachusetts 02184, within three business days after our acceptance of your order. If such payment is not received, we reserve the right, without notice, forthwith to cancel the sale or, at our option, to cause the Fund to redeem the Shares ordered, in which case we may hold you responsible for any loss, including loss of profit, suffered by us as result of your or your customer’s failure to make such payment. If any Shares confirmed to you or your customer under the terms of this agreement are repurchased by the issuing Fund or by us as agent for the Fund, or are tendered for repurchase, within seven business days after the date of our confirmation of the original purchase order, you shall promptly refund to us the full discount, commission, or other concession, if any, allowed or paid to you on such Shares.

 

7. Shares sold hereunder shall be available in book-entry form on the books of BFDS unless other instructions have been given.

 

8. No person is authorized to make any representations concerning Shares of any Fund except those contained in the applicable Prospectus. You agree that you will not offer or sell any Shares except under circumstances that will result in compliance with the applicable Federal and state securities laws and that in connection with sales and offers to sell Shares you will furnish to each person to whom any such sale or offer is made a copy of the then current summary prospectus (if available) or the statutory prospectus (if a summary prospectus is not available) for the appropriate Fund (as amended or supplemented) and will not furnish to any persons any information relating to Shares which is inconsistent in any respect with the information contained in such prospectus. You agree that you will not cause any advertisement to be published in any newspaper or posted in any public place without our consent and the consent of the appropriate Fund and that you shall be responsible for any required filing of such advertising. The Fund shall supply you with such quantities of prospectuses (including summary prospectuses, if applicable), statements of additional information, semi-annual and annual reports, proxies and other required documentation as may reasonably be requested by you, at the cost of the Fund.

 

9. All sales will be made subject to our receipt of Shares from the appropriate Fund. We reserve the right, in our discretion, without notice, to modify, suspend or withdraw entirely the offering of any Shares, and upon notice to change the price, sales charge, or dealer discount or to modify, cancel or change the terms of this Agreement.

 

10. You shall provide such office space and equipment, telephone facilities, personnel and literature distribution as is necessary or appropriate for providing information and services to your customers. Such services and assistance may include, but are not be limited to, establishment and maintenance of shareholder accounts and records, processing purchase and redemption transactions, answering routine inquiries regarding the Funds, and such other services as may be agreed upon from time to time and as may be permitted by applicable statute, rule, or regulation. You shall perform these services in good faith and with reasonable care. You shall immediately inform the Funds or us of all written complaints received by you from Fund shareholders relating to the maintenance of their accounts and shall promptly answer all such complaints.

 

11. In connection with the Funds that permit the sale of their shares at net asset value to customers purchasing through a Fee-Based Program, as described in their respective Prospectuses, you further agree to abide by the following terms:

 

  a) You represent that you have established a Fee-Based Program as defined above;

 

  b) The Funds to which this Agreement pertains will be those designated by the Distributor and accepted by you, as set forth in Exhibit A hereto, as such exhibit may be amended from time to time, subject to state and federal securities laws and regulations and applicable rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”);

 

  c)

You may sell certain designated class(es) of shares of the Funds as described in sub-section (b) above at net asset value to your customers participating in the Fee-Based Program. You will earn no concession or commission on


 

any such sale, but will be entitled to receive the appropriate 12b-1 fees, if any, otherwise payable with respect thereto to the extent provided from time to time in the applicable Fund’s Prospectus;

 

  d) Any agent (other than your employee(s) or representative(s)) employed or utilized by you to perform any services under this Agreement on your behalf, including but not limited to a clearing agent, shall enter into an agreement with the Distributor containing such provisions as the Distributor may reasonably require; however, you shall remain responsible for the performance of your agents; and

 

  e) The Distributor is not endorsing, recommending or otherwise involved in providing any investment product offered by you (including but not limited to the Fee-Based Program), and you are prohibited from representing otherwise; the Distributor is merely affording you the opportunity to use Shares of certain Funds distributed by the Distributor as an investment medium for the Fee-Based Program.

 

12. All communications to us should be sent to 333 W. Wacker Drive, Chicago, Illinois 60606. Any notice to you shall be duly given if mailed or telegraphed to you at the address specified by you below.

 

13. Your acceptance of this agreement constitutes a representation that you (a) are registered as a broker-dealer with the Securities and Exchange Commission (“SEC”) and are a member in good standing of FINRA, (b) are registered with the SEC as an investment adviser, or (c) are a bank as defined in Section 3(a)(6) of the Securities Exchange Act of 1934, as amended, and are duly authorized to engage in the transactions to be performed hereunder; and that you agree to comply with all applicable state and Federal laws, rules and regulations applicable to transactions and services hereunder and, if applicable, with the FINRA Rules, including specifically NASD Conduct Rule 2830 thereof, as such laws, rules and regulations may be amended from time to time. You likewise agree that you will not offer to sell Shares in any state or other jurisdiction in which they may not lawfully be offered for sale or offer to provide advisory services in any state or other jurisdiction in which they may not lawfully be provided. We agree to advise you currently of the identity of those states and jurisdictions in which the Shares may lawfully be offered for sale.

 

14. This Agreement shall be construed in accordance with the laws of the State of Illinois. This Agreement shall not relieve you or the Distributor from any obligations either may have under any other agreements between them. This Agreement is subject to the Prospectuses of the Funds from time to time in effect, and, in the event of a conflict, the terms of the Prospectuses shall control. Any changes, modifications or additions reflected in any Prospectus shall be effective on the date of such Prospectus (or supplement thereto) unless specified otherwise. This Agreement shall supersede any prior dealer distribution agreement with respect to the Funds. The National Securities Clearing Corporation (“NSCC”) rules and procedures shall apply to transactions hereunder. In the event of a conflict between this Agreement and the NSCC rules and procedures, this Agreement shall prevail.

 

15. The parties acknowledge that the SEC and the United States Treasury Department have adopted a series of rules and regulations arising out of the USA PATRIOT Act (together with such rules and regulations, the “Applicable Law”), specifically requiring certain financial institutions, including each party hereto, to establish a written anti-money laundering and customer identification program (a “Program”). Each party represents, warrants and certifies that it has established, and covenants that at all times during the existence of this Agreement it will maintain, a Program in compliance with the Applicable Law. You covenant that you will perform all activities, including the establishment and verification of customer identities as required by the Applicable Law and/or your Program, with respect to all customers on whose behalf you maintain an account with the Funds.

 

16. Each party represents and warrants to the other party that:

a) Powers. It has the power to execute this Agreement and any other documentation relating to this Agreement to which it is a party, to deliver this Agreement and any other documentation relating to this Agreement that it is required by this Agreement to deliver and to perform its obligations under this Agreement, and it has taken all necessary action to authorize such execution, delivery and performance.

b) No Violation or Conflict. Such execution, delivery and performance do not violate or conflict with any law applicable to it, any provision of its constitutional documents, any order or judgment of any court or other agency of government applicable to it or any contractual restriction binding on or affecting it.

c) Obligations Binding. Its obligations under this Agreement constitute its legal, valid and binding obligations, enforceable in accordance with their respective terms (subject to applicable bankruptcy, reorganization, insolvency, moratorium or similar laws affecting creditors’ rights generally and subject, as to enforceability, to equitable principles of general application regardless of whether enforcement is sought in a proceeding in equity or law).

d) Compliance with Laws. It will comply with all applicable laws and orders to which it may be subject if failure to do so would materially impair its ability to perform its obligations under this Agreement.

e) No Improper Compensation. It has not (i) made or agreed to make or (ii) received or agreed to receive any compensation in violation of Rule 12b-1(h) under the Investment Company Act of 1940 in connection with this agreement.


17. We will treat all non-public personal information about you or your customers that is provided to us in connection with this Agreement and the transactions contemplated herein according to Nuveen’s Privacy Policy, as such policy may be amended from time to time. Consistent with Nuveen’s Privacy Policy, we may provide such information, among other things, to third-party service providers that provide administrative or marketing services on our behalf to assist us in servicing your or your client’s account. Each party represents to the other that it has safeguards in place to protect the confidentiality of customers’ non-public personal information in accordance with applicable state and Federal laws, rules and regulations, as such laws, rules and regulations may be amended from time to time, will provide to the other party such information as may reasonably be requested to demonstrate the foregoing, and will promptly notify the other party in the event of a security breach involving such other party’s customers.

 

18. You agree to: (a) assess any applicable redemption fee as set forth in a Fund’s registration statement; (b) maintain the confidentiality of any non-public information that you may receive from us concerning our Funds and refrain from trading or permitting others to trade in shares of the Funds on the basis of such information; and (c) notify us promptly in the event of a material change in your ability to comply with the foregoing.

 

19. You agree to provide information as specified:

a) Agreement to Provide Information. You agree to provide the Funds, upon written request, the taxpayer identification number (“TIN”), if known, of any or all Shareholder(s) of the account and the amount, date, name or other identifier of any investment professional(s) associated with the Shareholder(s) or account (if known), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of Shares held through an account maintained by you during the period covered by the request.

(1) Period Covered by Request. Requests must set forth a specific period, not to exceed 180 days from the date of the request, for which transaction information is sought. The Funds may request transaction information older than 180 days from the date of the request as they deem necessary to investigate compliance with policies established by the Funds for the purpose of eliminating or reducing any dilution of the value of the outstanding shares issued by the Funds.

(2) Form and Timing of Response. You agree to transmit the requested information that is on your books and records to the Funds or their designee promptly, but in any event not later than ten (10) business days after receipt of a request. If the requested information is not on your’s books and records, you agree to: (i) provide or arrange to provide to the Funds promptly, but in any event not later than twenty (20) business days after receipt of a request, the requested information from shareholders who hold an account with an indirect intermediary; or (ii) if directed by the Funds, block further purchases of Shares from such indirect intermediary. In such instance, you agree to inform the Funds whether you plan to perform (i) or (ii). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. To the extent practicable, the format for any transaction information provided to the Funds should be consistent with the NSCC Standardized Data Reporting Format. For purposes of this provision, an “indirect intermediary” has the same meaning as in Rule 22c-2 under the Investment Company Act of 1940.

(3) Limitations on Use of Information. The Funds agree not to use the information received for marketing or any other similar purpose without your prior written consent.

b) Agreement to Restrict Trading. You agree to execute written instructions from the Funds to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Funds as having engaged in transactions of the Funds’ Shares (directly or indirectly through the your account) that violate policies established by the Funds for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Funds.

(1) Form of Instructions. Instructions must include the TIN, if known, and the specific restriction(s) to be executed. If the TIN is not known, the instructions must include an equivalent identifying number of the Shareholder(s) or account(s) or other agreed upon information to which the instructions relate.

(2) Timing of Response. You agree to execute instructions as soon as reasonably practicable, but not later than five (5) business days after receipt of the instructions by you.

(3) Confirmation by You. You agree to provide written confirmation to the Funds that instructions have been executed as soon as reasonably practicable, but not later than ten (10) business days after the instructions have been executed.


c) Definitions. For purposes of this Section:

(1) The term “Funds” includes the Funds’ principal underwriter and transfer agent. The term does not include any “excepted funds” as defined in Rule 22c-2(b) under the Investment Company Act of 1940. As defined in Rule 22c-2(b), the term “excepted fund” means any: (a) money market fund; (b) fund that issues securities that are listed on a national exchange; and (c) fund that affirmatively permits short-term trading of its securities, if its prospectus clearly and prominently discloses that the fund permits short-term trading of its securities and that such trading may result in additional costs for the fund.

(2) The term “Shares” means the interests of Shareholders corresponding to the redeemable securities of record issued by the Funds under the Investment Company Act of 1940 that are held by you.

(3) The term “Shareholder” means the beneficial owner of Shares, whether the Shares are held directly or by you in nominee name. Where applicable, the term “Shareholder” shall also have the meanings indicated below.

(4) If you are a retirement plan record-keeper, the term “Shareholder” means the plan participant notwithstanding that the plan may be deemed to be the beneficial owner of Shares.

(5) If you are an insurance company, the term “Shareholder” means the holder of interests in a variable annuity or variable life insurance contract issued by you.

(6) The term “written” includes electronic writings and facsimile transmissions.

 

20. This Agreement may be signed in counterparts, each of which shall be deemed to be an original, and all such counterparts shall together constitute but one and the same agreement.


In Witness Whereof, this Agreement has been executed as of the date set forth above by a duly authorized officer of each party.

 

LOGO

The above agreement should be executed in duplicate and both copies returned to us for signature. We will return a fully executed copy to you for your files.

Please return the completed agreement to:

Nuveen Investments, LLC, 333 West Wacker Drive, Chicago, Illinois 60606-1286


Exhibit A to Nuveen Mutual Funds

Dealer Distribution and Shareholder Servicing Agreement

Policies and Procedures With Respect to Sales of Multiple Classes of Funds

The Nuveen Mutual Funds (the “Funds”) have one or more of the following classes of shares generally available to the public: Class A Shares, which are normally subject to an up-front sales charge and a service fee; Class C Shares, which are subject to an asset-based sales charge, distribution and service fees, and a 12-month contingent deferred sales charge (“CDSC”); and Class I Shares, which are not subject to sales charges or distribution or service fees (please see a Fund’s Statement of Additional Information for eligibility requirements for Class I Shares). Class B Shares, which are subject to an asset-based sales charge, distribution and service fees, and a declining CDSC, are offered by certain Funds but are closed to new or additional investments, except (i) upon the exchange of Class B Shares from another Fund or (ii) for purposes of dividend reinvestment.

It is important for an investor to choose the method of purchasing shares which best suits his or her particular circumstances. To assist investors in these decisions, Nuveen Investments, LLC (“Nuveen”), underwriter for the Funds, has instituted the following policies with respect to orders for Fund shares. These policies apply to each Authorized Dealer which distributes Fund shares.

 

   

Purchase orders for a single purchaser equal to or exceeding $1,000,000 for Class C Shares will not be accepted. In addition, purchase orders for a single purchaser that, when added to the value that day of all of such purchaser’s shares of any class of any Fund, would cause the purchaser’s cumulative total of Fund shares to equal or exceed the aforementioned limit will not be accepted. Purchase orders for a single purchaser equal to or exceeding the aforementioned limits should only be placed for Class A shares, unless such purchase has been reviewed and approved as suitable for the client by the Authorized Dealer’s appropriate supervisor and Nuveen receives written confirmation of such approval.

There are instances when one method of purchasing shares may be more appropriate than the other. For example, investors who would qualify for a significant discount from the maximum sales load on Class A Shares might determine that payment of such a reduced up-front sales charge is preferable to the payment of a higher ongoing distribution fee on Class C Shares. On the other hand, investors who prefer not to pay an up-front sales charge may wish to defer the sales charge by purchasing Class C Shares. Those who plan to redeem their shares within 5 years might consider Class C Shares, particularly if they do not expect to reinvest dividends in additional shares. In addition, investors who intend to hold their shares for a significant period of time may not wish to bear the higher ongoing asset-based sales charges of Class C Shares, irrespective of the fact that the CDSC that would apply to a redemption of Class C Shares is small in amount and eliminated after a short period of time.

Appropriate supervisory personnel within your organization must ensure that all employees receiving investor inquiries about the purchase of Fund shares advise the investor of the pricing structures offered by the Funds and the impact of choosing one method over another, including breakpoints and the availability of letters of intent, combined purchases and cumulative discounts. In some instances it may be appropriate for a supervisory person to discuss a purchase with the investor.

These policies are effective immediately with respect to any order for the purchase of shares of the Funds.


Exhibit A (page 2)   

A SHARES

  

B SHARES*

(EXCHANGES ONLY)

  

C SHARES

  

I SHARES**

    

CUSIP

  

NASDAQ

  

CUSIP

  

NASDAQ

  

CUSIP

  

NASDAQ

  

CUSIP

  

NASDAQ

    

Number

  

Symbol

  

Number

  

Symbol

  

Number

  

Symbol

  

Number

  

Symbol

Equity & Asset Allocation Mutual Funds

                       

Nuveen Conservative Allocation Fund

   67064Y883    NBMSX    67064Y875    NMNBX    67064Y867    NBMCX    67064Y859    NMNRX

Nuveen Growth Allocation Fund

   67064Y719    NGOAX    67064Y693    NGVBX    67064Y685    NGVCX    67064Y677    NGVRX

Nuveen Enhanced Core Equity Fund

   67064Y537    NEEAX    —      —      67064Y511    NEECX    67064Y495    NEERX

Nuveen Enhanced Mid-Cap Fund

   67064Y487    NDPAX    —      —      67064Y461    NDPCX    67064Y453    NDPRX

Nuveen Moderate Allocation Fund

   67064Y107    NNSAX    67064Y206    NNSBX    67064Y305    NUVCX    67064Y404    NNSRX

Nuveen Multi-Manager Large-Cap Value Fund

   67064Y503    NNGAX    67064Y602    NNGBX    67064Y701    NNGCX    67064Y800    NNGRX

Nuveen NWQ Large-Cap Value Fund

   67064Y628    NQCAX    67064Y610    NQCBX    67064Y594    NQCCX    67064Y586    NQCRQ

Nuveen NWQ Multi-Cap Value Fund

   67064Y792    NQVAX    67064Y784    NQVBX    67064Y776    NQVCX    67064Y768    NQVRX

Nuveen NWQ Small/Mid-Cap Value Fund

   67064Y578    NSMAX          67064Y552    NSMCX    67064Y545    NSMRX

Nuveen NWQ Small-Cap Value Fund

   67064Y750    NSCAX          67064Y735    NSCCX    67064Y727    NSCRX

Nuveen Santa Barbara Dividend Growth Fund

   67065W662    NSBAX    67065W654    NSBBX    67065W647    NSBCX    67065W639    NSBRX

Nuveen Santa Barbara Growth Fund

   67065W753    NSAGX          67065W738    NSRCX    67065W720    NSRGX

Nuveen Santa Barbara Growth Opportunities Fund

   67065W712    NSOAX    67065W696    NSOBX    67065W688    NSOCX    67065W670    NSORX

Nuveen Santa Barbara International Equity Fund

   670725738    NBQAX          670725720    NBQCX    670725712    NBQIX

Nuveen Symphony All-Cap Core Fund

   67065W621    NACAX    —      —      67065W597    NACCX    67065W589    NSAIX

Nuveen Symphony International Equity Fund

   67065W266    NSIAX    —      —      67065W258    NSECX    67065W241    NSIEX

Nuveen Symphony Large-Cap Growth Fund

   67065W449    NCGAX    —      —      67065W423    NCGCX    67065W415    NSGIX

Nuveen Symphony Large-Cap Value Fund

   67065W480    NSLAX    —      —      67065W464    NSLCX    67065W456    NSLIX

Nuveen Symphony Mid-Cap Core Fund

   67065W571    NCCAX    —      —      67065W555    NCCCX    67065W548    NCCIX

Nuveen Symphony Optimized Alpha Fund

   67065W118    NOPAX    —      —      67065W134    NOPCX    67065W142    NOPRX

Nuveen Symphony Small-Mid Cap Core Fund

   67065W530    NSSAX    —      —      67065W514    NSSCX    6705W498    NSSIX

Nuveen Tradewinds Global All-Cap Fund

   67065W795    NWGAX    67065W787    NWGBX    67065W779    NWGCX    67066W761    NWGRX

Nuveen Tradewinds Global Resources Fund

   67065W399    NTGAX    —      —      67065W373    NTGCX    67065W365    NTRGX

Nuveen Tradewinds International Value Fund

   67065W506    NAIGX    67065W605    NBIGX    67065W704    NCIGX    67065W803    NGRRX

Nuveen Tradewinds Value Opportunities Fund

   67064Y669    NVOAX    67064Y651    NVOBX    67064Y644    NVOCX    67064Y636    NVORX

Nuveen Winslow Large-Cap Growth Fund***

   670725688    NWCAX                670725662    NVLIX

Taxable Fixed Income Mutual Funds

                       

Nuveen High Yield Bond Fund

   67066D887    NSLAX    67066D879    NHBYX    67066D861    NHYCX    67066D853    NHYRX

Nuveen Multi-Strategy Core Bond Fund

   67066D507    NSLAX    67066D606    NBCBX    67066D705    NCBCX    67066D804    NCBRX

Nuveen Preferred Securities Fund

   670700103    NSLAX    —      —      670700301    NPSCX    670700400    NPSRX

Nuveen Short Duration Bond Fund

   67066D846    NSLAX    —      —      67066D820    NSCDX    67066D812    NSDRX


Municipal Mutual Funds                        

Nuveen All-American Municipal Bond Fund

   67065Q889    FLAAX    67065Q871    FAAMX    67065Q863    FAACX    67065Q855    FAARX

Nuveen High Yield Municipal Bond Fund

   67065Q749    NHMAX    6705Q756    NHMBX    68065Q764    NHMCX    67065Q722    NHMRX

Nuveen Insured Municipal Bond Fund

   67065Q509    NMBIX    67065Q608    NMBBX    67065Q707    NMBKX    67065Q806    NITNX

Nuveen Intermediate Duration Municipal Bond Fund

   67065Q202    NMBAX    67065Q103    NUMBX    67065Q301    NNSCX    67065Q400    NUVBX

Nuveen Limited Term Municipal Bond Fund

   67065Q848    FLTDX    —      —      67065Q830    FLTCX    68065Q822    FLTRX

Nuveen AZ Municipal Bond Fund

   67065LI04    FAZTX    67065L203    FAZBX    67065L302    FAZCX    67065L401    NMARX

Nuveen CA Municipal Bond Fund

   67065N100    NCAAX    68065N209    NCBBX    67065N308    NCACX    67065N407    NCSPX

Nuveen CA Insured Municipal Bond Fund

   67065N506    NCAIX    67065N605    NCABX    67065N704    NCAKX    67065N803    NCIBX

Nuveen CA High Yield Municipal Bond Fund

   67065N589    NCHAX          67065N563    NCHCX    67065N555    NCHRX

Nuveen CO Municipal Bond Fund

   67065L609    FCOTX    67065L500    FCOBX    67065L807    FCOCX    67065L880    FCORX

Nuveen CT Municipal Bond Fund

   67065N886    FCTTX    67065N878    FCTBX    67065N860    FCTCX    67065N852    FCTRX

Nuveen FL Preference Municipal Bond Fund

   67065L708    FLOTX    67065L658    FLOBX    67065L641    FLCTX    67065L872    NMFLX

Nuveen GA Municipal Bond Fund

   67065P501    FGATX    67065P600    NMUBX    67065P709    FGACX    67065P808    FGARX

Nuveen KS Municipal Bond Fund

   67065R101    FKSTK    67065R200    FBKSX    67065R309    FCKSX    67065R408    FRKSX

Nuveen KY Municipal Bond Fund

   67065R507    FKYTX    67065R606    FKYBX    67065R705    FKYCX    67065R804    FKYRX

Nuveen LA Municipal Bond Fund

   67065P881    FTLAX    67065P873    FTLBX    67065P865    FTLCX    67065P857    FTLRX

Nuveen MD Municipal Bond Fund

   67065L831    NMDAX    67065L823    NBMDX    67065L815    NMDCX    67065L799    NMMDX

Nuveen MA Municipal Bond Fund

   67065N845    NMAAX    67065N837    NMABX    67065N829    NMACX    67065N811    NBMAX

Nuveen MA Insured Municipal Bond Fund

   67065N795    NMAIX    67065N787    NINSX    67065N779    NMAKX    67065N761    NIMAX

Nuveen MI Municipal Bond Fund

   67065R853    FMITX    67065R846    FMIBX    67065R838    FLMCX    67065R820    NMMIX

Nuveen MO Municipal Bond Fund

   67065R812    FMOTX    67065R796    FMMBX    67065R788    FMOCX    67065R770    FMMRX

Nuveen NJ Municipal Bond Fund

   67065N753    NNJAX    67065N746    NNJBX    67065N738    NNJCX    67065N720    NMNJX

Nuveen NM Municipal Bond Fund

   67065L781    FNMTX    67065L773    FNMBX    67065L765    FNMCX    67065L757    FNMRX

Nuveen NY Municipal Bond Fund

   67065N670    NNYAX    67065N662    NNYBX    67065N654    NNYCX    67065N647    NTNYX

Nuveen NY Insured Municipal Bond Fund

   67065N639    NNYIX    67065N621    NNIMX    68065N613    NNYKX    67065N597    NINYX

Nuveen NC Municipal Bond Fund

   67065P840    FLNCX    67065P832    FBNCX    67065P824    FCNCX    67065P816    FCNRX

Nuveen OH Municipal Bond Fund

   67065R762    FOHTX    67065R754    FOHBX    67065R747    FOHCX    67065R739    NX0HX

Nuveen PA Municipal Bond Fund

   67065L740    FPNTX    67065L732    FPMMX    67065L724    FPMBX    67065L716    NBPAX

Nuveen TN Municipal Bond Fund

   67065P758    FTNTX    67065P741    FMTBX    67065P733    FTNCX    67065P725    FTNRX

Nuveen VA Municipal Bond Fund

   67065L690    FVATX    67065L682    NFVBX    67065L674    FVACX    67065L666    NMVAX

Nuveen WI Municipal Bond Fund

   67065R721    FWIAX    67065R713    FWIBX    67065R697    FWICX    67065R689    FWIRX

NOTE:

 

* Class B Shares are available for exchanges only – please see the Funds’ statement of additional information (SAI)
** Class I Shares may be purchased only under limited circumstances or by specified classes of investors.– please see the Funds’ SAI for eligibility requirements
*** Only Available to defined contribution plans and traditional institutional investors

September 2010


First American Funds

 

Exhibit A (page 3)    A Shares    B Shares    C Shares    R Shares    Y Shares
     CUSIP    NASDAQ    CUSIP    NASDAQ    CUSIP    NASDAQ    CUSIP    NASDAQ    CUSIP    NASDAQ
     Number    Symbol    Number    Symbol    Number    Symbol    Number    Symbol    Number    Symbol

Equity & Asset Allocation Mutual Funds

                             

FIRST AMERICAN EQUITY INCOME FUND

   318530326    FFEIX    318530375    FAEBX    318929692    FFECX    318929320    FEISX    318530367    FAQIX

FIRST AMERICAN EQUITY INDEX FUND

   318530888    FAEIX    318530532    FAEQX    318929726    FCEIX    318929288    FADSX    318530755    FEIIX

FIRST AMERICAN GLOBAL INFRASTRUCTURE FUND

   31853P594    FGIAX    —      —      31853P578    FGNCX    31853P560    FGNRX    31853P586    FGIYX

FIRST AMERICAN INTERNATIONAL FUND

   318530615    FAIAX    318530581    FNABX    318929627    FIACX    318929296    ARQIX    318530623    FAICX

FIRST AMERICAN INTERNATIONAL SELECT FUND

   31853P784    ISACX    —      —      31853P768    ICCSX    31853P750    ISRCX    31853P743    ISYCX

FIRST AMERICAN LARGE CAP GROWTH OPPORTUNITIES FUND

   318941754    FRGWX    318941747    FETBX    318941739    FAWCX    318941721    FLCYX    318941713    FIGWX

FIRST AMERICAN LARGE CAP SELECT FUND

   31853P883    FLRAX    —      —      31853P867    FLYCX    31853P859    FLSSX    31853P842    FLRYX

FIRST AMERICAN LARGE CAP VALUE FUND

   318530508    FASKX    318530540    FATBX    318929684    FALVX    318941200    FAVSX    318530771    FSKIX

FIRST AMERICAN MID CAP GROWTH OPPORTUNITIES FUND

   318941648    FRSLX    318941630    FMQBX    318941622    FMECX    318941614    FMEYX    318941598    FISGX

FIRST AMERICAN MID CAP INDEX FUND

   318941424    FDXAX    —      —      318941390    FDXCX    318941382    FMCYX    318941374    FIMEX

FIRST AMERICAN MID CAP SELECT FUND

   318530631    FATAX    318530573    FITBX    318929429    FTACX    —      —      318530649    FATCX

FIRST AMERICAN MID CAP VALUE FUND

   318530409    FASEX    318530557    FAESX    318929650    FACSX    318941408    FMVSX    318530763    FSEIX

FIRST AMERICAN QUANTITATIVE LARGE CAP CORE

   31853P735    FQCAX    —      —      31853P727    FQCCX    —      —      31853P693    FQCYX

FIRST AMERICAN REAL ESTATE SECURITIES FUND

   318530284    FREAX    318530276    FREBX    318929437    FRLCX    318929312    FRSSX    318530268    FARCX

FIRST AMERICAN SMALL CAP GROWTH OPPORTUNITIES FUND

   318941580    FRMPX    318941572    FROBX    318941564    FMPCX    318941556    FMPYX    318941549    FIMPX

FIRST AMERICAN SMALL CAP INDEX FUND

   318941366    FMDAX    —      —      318941341    FPXCX    318941333    ARSCX    318941325    ASETX

FIRST AMERICAN SMALL CAP SELECT FUND

   318941531    EMGRX    318941523    ARSBX    318941515    FHMCX    318941499    ASEIX    318941481    ARSTX

FIRST AMERICAN SMALL CAP VALUE FUND

   318530151    FSCAX    —      —      318929643    FSCVX    318941507    FSVSX    318530136    FSCCX

FIRST AMERICAN STRATEGY AGGRESSIVE GROWTH ALLOC FUND

   31847S407    FAAGX    31847S605    FSGBX    31847S704    FSACX    31847S506    FSASX    31847S803    FSAYX

FIRST AMERICAN STRATEGY BALANCED ALLOCATION FUND

   31847S209    FSGNX    31847S837    FSKBX    31847S829    FSKCX    31847S845    FSKSX    31847S811    FSKYX

FIRST AMERICAN STRATEGY CONSERVATIVE ALLOCATION FUND

   31847S100    FSFIX    31847S787    FSFBX    31847S779    FSJCX    31847S795    FSJSX    31847S761    FSFYX

FIRST AMERICAN STRATEGY GROWTH ALLOCATION FUND

   31847S308    FAGSX    31847S878    FSNBX    31847S860    FSNCX    31847S886    FSNSX    31847S852    FSGYX

FIRST AMERICAN TACTICAL MARKET OPPORTUNITIES FUND

   —      —      —      —      —      —      —      —      31853Q105    FGTYX

Taxable Fixed Income Mutual Funds

                             

FIRST AMERICAN CORE BOND FUND

   318530102    FAFIX    318530599    FFIBX    318929767    FFAIX    318929262    FFISX    318530821    FFIIX

FIRST AMERICAN HIGH INCOME BOND FUND

   318929817    FJSIX    318929791    FJSBX    318929759    FCSIX    318941879    FANSX    318929783    FJSYX

FIRST AMERICAN INFLATION PROTECTED SECURITIES FUND

   31853P834    FAIPX    —      —      31853P826    FCIPX    31853P818    FRIPX    31853P792    FYIPX

FIRST AMERICAN INTERMEDIATE GOVERNMENT BOND FUND

   31853P701    FIGAX    —      —      31853P552    FYGCX    31853P545    FYGRX    31853P800    FYGYX

FIRST AMERICAN INTERMEDIATE TERM BOND FUND

   318530607    FAIIX    —      —      —      —      —      —      318530813    FINIX

FIRST AMERICAN SHORT TERM BOND FUND

   318530706    FALTX    —      —      31853P511    FBSCX    —      —      318530797    FLTIX

FIRST AMERICAN TOTAL RETURN BOND FUND

   318929619    FCDDX    318929593    FCBBX    318929585    FCBCX    318929270    FABSX    318929577    FCBYX

Municipal Mutual Funds

                             

FIRST AMERICAN CALIFORNIA TAX FREE FUND

   318929536    FCAAX    —      —      318929528    FCCAX    —      —      318929510    FCAYX

FIRST AMERICAN COLORADO TAX FREE FUND

   318929494    FCOAX    —      —      318929486    FCCOX    —      —      318929478    FCOYX

FIRST AMERICAN INTERMEDIATE TAX FREE FUND

   318530300    FAMBX    —      —      31853P537    FMBCX    —      —      318530839    FMBIX

FIRST AMERICAN MINNESOTA INTER TAX FREE FUND

   318530698    FAMAX    —      —      31853P529    FACMX    —      —      318530714    FAMTX

FIRST AMERICAN MINNESOTA TAX FREE FUND

   318929833    FJMNX    —      —      318929734    FCMNX    —      —      318929825    FYMNX

FIRST AMERICAN MISSOURI TAX FREE FUND

   318941192    ARMOX    —      —      318941184    FFMCX    —      —      318941176    ARMIX

FIRST AMERICAN NEBRASKA TAX FREE FUND

   318929411    FNTAX    —      —      318929395    FNTCX    —      —      318929387    FNTYX

FIRST AMERICAN OHIO TAX FREE BOND FUND

   31853P206    FOFAX    —      —      31853P305    FOTCX    —      —      31853P404    FOTYX

FIRST AMERICAN OREGON INTER TAX FREE FUND

   318929775    FOTAX    —      —      —      —      —      —      318530227    FORCX

FIRST AMERICAN SHORT TAX FREE FUND

   31853P503    FSHAX    —      —      —      —      —      —      31853P602    FSHYX

FIRST AMERICAN TAX FREE FUND

   318929858    FJNTX    —      —      318929742    FJCTX    —      —      318929841    FYNTX


Mutual Funds    LOGO

MUTUAL FUNDS PRICING SHEET

LOGO

Municipal Bond Funds Pricing

 

CLASS A SHARES         Limited Term   Intermediate Duration   All Other Municipal Bond Funds
 
Initial Sales Charge:    Amount of Purchase    Sales Charge   Commission   Sales Charge   Commission   Sales Charge   Commission
 
   Less than $50,000    2.50%   2.00%   3.00%   2.50%   4.20%   3.70%
 
   $50,000 — $99,999    2.00%   1.60%   2.50%   2.00%   4.00%   3.50%
 
   $100,000 — $249,999    1.50%   1.20%   2.00%   1.50%   3.50%   3.00%
 
   $250,000 — $499,999    1.25%   1.00%   1.50%   1.25%   2.50%   2.00%
 
   $500,000 — $999,999    0.75%   0.60%   1.25%   1.00%   2.00%   1.50%
 
   $1.0 million and above    NAV   *   NAV   *   NAV   *
 

Annual Distribution and Service Fees (12b-1):

  0.20%     0.20%     0.20%
 

Annual Dealer Trail (begins immediately):

     0.20%     0.20%     0.20%
 

NAV Pricing:

      Fee-based advisors, wrap programs and other specified purchases

 

* Nuveen Investments pays authorized dealers of record a commission equal to the sum of 1% (0.75% for Intermediate Duration Municipal Bond Fund and 0.50% for Limited Term Municipal Bond Fund) of the first $2.5 million, plus 0.50% of the next $2.5 million, plus 0.25% (0.50% for the Intermediate Duration Municipal Bond Fund) on purchases over $5 million. Unless the commission is waived, these purchases are subject to a 1% CDSC (0.75% for Intermediate Duration Municipal Bond Fund and 0.50% for Limited Term Municipal Bond Fund) if redeemed within the first 12 months.

 

CLASS B SHARES                                            
 

Initial Sales Charge:

  None                     
 

Annual Distribution and Service Fees (12b-1):

  0.95%                     
 

Annual Dealer Trail (begins month 13):

  0.20%                     
 

CDSC Schedule:        

   Years Since Purchase:           0-1    1 - 2    2 - 3    3 - 4    4 - 5    5 - 6    over 6   
    
   CDSC:   5%    4%    4%    3%    2%    1%    0%   
Conversion:      Class B Shares convert to Class AS hares after 8 years
Availability:      Not available for the Nuveen Limited Term Municipal Bond Fund. The Funds will issue Class B Shares upon the exchange of Class B Shares from another Nuveen Mutual Fund or for purposes of dividend reinvestment. Class B Shares are not available for new accounts or for additional investment into existing accounts. See the Funds’ prospectus for more information.

 

CLASS C SHARES   Limited Term        Intermediate Duration        All Other Municipal Bond Funds
 

Initial Sales Charge:

  None      None      None
 

Annual Distribution and Service Fees (12b-1):

  0.55%      0.75%      0.75%
 

Commission Advance:

  1.00%      1.00%      1.00%
 

Annual Dealer Trail (begins month 13):

  0.55%      0.75%      0.75%
 

CDSC Schedule:

 

1% on redemptions within 12 months of purchase

Conversion:

 

None

Restriction:

 

The Funds have established a limit on the amount of Class C shares that may be purchased by an individual investor at any one time. See the Fund’s SAI for more information.

 

CLASS I SHARES   
 
Initial Sales Charge:    None
 
Annual Distribution and Service Fees (12b-1):    None
 
Annual Dealer Trail:    None
 
Availability:    Qualified fee-based advisers, wrap programs, and single purchases of $1 million or more
ACCOUNT FEATURES   
 
Initial Purchase Minimums:    Regular ($3,000); Systematic Investment ($50); Wrap Accounts ($250)
Subsequent Purchase Minimums:    $50
Shareholder Privileges:    Rights of Accumulation, Letter of Intent and No Load Reinvestment

An investor should carefully consider the Funds’ objectives, risks, charges and expenses before investing. For a prospectus containing this and other information, please contact Nuveen Investments at (800) 257-8787. Read the prospectus carefully before you invest or send money.

Funds distributed by Nuveen Investments, LLC

 

 

 

NOT FDIC INSURED     NO BANK GUARANTEE MAY LOSE VALUE    01


MUTUAL FUNDS PRICING SHEET

 

 

Equity, Asset Allocation and Taxable Fixed Income Funds Pricing+

 

CLASS A SHARES (EQUITY AND ASSET ALLOCATION FUNDS)
 
Initial Sales Charge:    Amount of Purchase    Sales Charge   Commission    
 
   Less than $50,000    5.75%   5.00%  
 
   $50,000 – $99,999    4.50%   4.00%  
 
   $100,000 – $249,999    3.75%   3.25%  
 
   $250,000 – $499,999    2.75%   2.50%  
 
   $500,000 – $999,999    2.00%   1.75%  
 
   $1.0 million and above    NAV   *  
 

Annual Distribution and Service Fees (12b-1):

  0.25%  
 

Annual Dealer Trail (begins immediately):

     0.25%  
 

NAV Pricing:

   Fee-based advisors, wrap programs, qualified retirement plans and other specified purchases

 

CLASS A SHARES (TAXABLE FIXED INCOME FUNDS)      Short Duration   Multi-Strategy Core Bond  

All Other

Taxable Fixed Income Funds

Initial Sales Charge:    Amount of Purchase      Sales Charge   Commission   Sales Charge   Commission   Sales Charge   Commission
     Less than $ 50,000       2.00%   1.50%   3.75%   3.25%   4.75%   4.25%
       $50,000 – $99,999       1.50%   1.25%   3.50%   3.00%   4.50%   4.00%
       $100,000 – $249,999       1.25%   1.00%   3.25%   2.75%   3.50%   3.00%
       $250,000 – $499,999       1.00%   0.75%   2.25%   2.00%   2.50%   2.25%
       $500,000 – $999,999       0.75%   0.50%   1.75%   1.50%   2.00%   1.75%
       $1.0 million and above       NAV   *   NAV   *   NAV   *

Annual Distribution and Service Fees (12b-1):

  

       0.25%       0.25%       0.25%

Annual Dealer Trail (begins immediately):

  

       0.25%       0.25%       0.25%

NAV Pricing:

     Fee-based advisors, wrap programs and other specified purchases

 

* Nuveen Investments pays authorized dealers of record a commission equal to the sum of 1% (0.50% for the Multi-Strategy Core Bond and 0.25% for the Short Duration Bond Funds) of the first $2.5 million, plus 0.50% (0.25% for the Multi-Strategy Core Bond and Short Duration Bond Funds) of the next $2.5 million, plus 0.25% on purchases over $5 million. Unless the commission is waived, these purchases are subject to a 1% CDSC (0.50% for the Multi-Strategy Core Bond and 0.25% for the Short Duration Bond Funds) if redeemed within the first 12 months.

 

CLASS B SHARES                                       
Initial Sales Charge:    None                                  
Annual Distribution and Service Fees (12b-1):    1.00%                                  
Annual Dealer Trail (begins month 13):    0.25%                                  
CDSC Schedule:    Years Since Purchase:    0-1   1-2    2-3    3-4    4-5    5-6    over 6     
   CDSC:    5%   4%    4%    3%    2%    1%    0%   
Conversion:       Class B Shares convert to Class AS hares after 8 years
Availability:       Not available for all Funds. The Funds will issue Class B Shares upon the exchange of Class B Shares from another Nuveen
      Mutual Fund or for purposes of dividend reinvestment. Class B Shares are not available for new accounts or for additional
      investment into existing accounts. See the Funds’ prospectus for more information.

 

CLASS C SHARES     
Initial Sales Charge:    None
Annual Distribution and Service Fees (12b-1):    1.00%
Commission Advance:    1.00%
Annual Dealer Trail (begins month 13):    1.00%
CDSC Schedule:    1% on redemptions within 12 months of purchase
Conversion:    None
Restriction:    The Funds have established a limit on the amount of Class C shares that may be purchased by an individual investor at any one time. See the Fund’s SAI for more information.
CLASS R3 SHARES     
Initial Sales Charge:    None
Annual Distribution and Service Fees (12b-1):    0.50%
Annual Dealer Trail:    None
Availability:    Certain retirement plan clients only. Not available for all Funds. See the Funds’ prospectus for more information.
CLASS I SHARES     
Initial Sales Charge:    None
Annual Distribution and Service Fees (12b-1):    None
Annual Dealer Trail:    None
Availability:    Qualified fee-based advisers, wrap programs, qualified retirement plans and single purchases of $1 million or more
ACCOUNT FEATURES     
Initial Purchase Minimums:    Regular ($3,000); Trad./RothIRA ($1,000); Edu. IRA ($500); Systematic Investment ($50); Wrap Accounts ($250)
Subsequent Purchase Minimums:    $50
No Purchase Minimums:    Purchases through employer sponsored retirement plans and purchases of Class R3 Shares.
Shareholder Privileges:    Rights of Accumulation, Letter of Intent and No Load Reinvestment

 

+ Redemption Fee Policy: All Nuveen Global/International mutual funds charge a 2% fee on the proceeds of Fund shares redeemed or exchanged within 30 days of acquisition. The Funds may waive the fee in specified circumstances. See the Funds’ prospectus for additional information.

 

 

MFS-PRICING-0310P

Nuveen Investments, LLC | 333 West Wacker Drive | Chicago, IL 60606 | 800.257.8787 | www.nuveen.com                                     02


NUVEEN OPEN-END MUTUAL FUNDS

BLUE SKY REGISTRATION AS OF January 1, 2011

Nuveen Intermediate Duration Municipal Bond Fund - Classes A, B, C & I - available for sale in all 50 states, US Virgin Islands and DC

Nuveen Insured Municipal Bond Fund - Classes A, B, C & I - available for sale in all 50 states, US Virgin Islands and DC

Nuveen All-American Municipal Bond Fund - Classes A, B, C & I - available for sale in all 50 states, US Virgin Islands and DC

Nuveen Limited Term Municipal Bond Fund - Classes A, C & I - available for sale in all 50 states, US Virgin Islands s and DC

Nuveen High Yield Municipal Bond Fund - Classes A, B, C & I - available for sale in all 50 states, PR, US Virgin Islands and DC

Nuveen Arizona Municipal Bond Fund - Classes A, B, C & I - available for sale in AZ,CA,CO,FL,GA,IL, MA-A only,NY,NC,OH.PA,VA

Nuveen Colorado Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,CO,FL,GA,IL,MA-A only,NC,OH,PA,VA

Nuveen Florida Preference Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,CO,FL,GA,IL,MA-A only,NY,NC,OH,PA,VA

Nuveen Maryland Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,CO,FL,GA,IL,MD, MA-A only,NY,NC,OH,PA,VA and DC

Nuveen New Mexico Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,CO,FL,GA,IL, MA-A only,NM,NC,OH,PA,VA

Nuveen Pennsylvania Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,CO,FL,GA,IL, MA-A only,MD,NY,NC,OH,PA,VA

Nuveen Virginia Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,CO,FL,GA,IL, MA-A only,NY,NC,OH,PA,VA and DC

Nuveen California Municipal Bond Fund - Classes A, B, C & I - available for sale in AZ, CA,FL, MA-A only, PA NV & OR

Nuveen California High Yield Municipal Bond Fund - Classes A, B, C & I - available for sale in AZ, CA,FL, MA-A only, MD, PA, NV, OR,VA & DC

Nuveen California Insured Municipal Bond Fund - Classes A, B, C & I - available for sale in AZ, CA,FL, MA-A only, PA, NV & OR

Nuveen Connecticut Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,CT,FL, MA-A only,NJ,PA, RI

Nuveen Massachusetts Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,FL,MA,PA and I shares only in DC

Nuveen Massachusetts Insured Municipal Bond Fund - Classes A, B, C & I - available for sale in CA, FL, MA, PA

Nuveen New Jersey Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,FL, MA-A only,NJ,NY,PA

Nuveen New York Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,FL, MA-A only,NJ,NY,PA

Nuveen New York Insured Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,FL, MA-A only,NJ,NY,PA

Nuveen Georgia Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,FL,GA,KY,LA, MA-A only,NC,PA,VA

Nuveen Louisiana Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,FL,GA,KY,LA, MA-A only,NC,PA,VA

Nuveen North Carolina Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,FL,GA,KY,LA, MA-A only,NC,PA,VA

Nuveen Tennessee Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,FL,GA,KY,LA, MA-A only,NC,PA,TN,VA

Nuveen Kansas Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,CO,FL,GA,IL,IN,KS,KY,LA, MA-A only,NC,OH,OK,PA,VA

Nuveen Kentucky Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,CO,FL,GA,IL,IN,KY,LA, MA-A only,NC,OH,OK,PA,VA

Nuveen Michigan Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,CO,FL,GA,IL,IN,KY,LA, MA-A only,MI,NY,NC,OH,OK,PA,VA

Nuveen Missouri Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,CO,FL,GA,IL,IN,KY,LA, MA-A only,MO,NC,OH,OK,PA,VA

Nuveen Ohio Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,CO,FL,GA,IL,IN,KY,LA, MA-A only,NC,OH,OK,PA,VA

Nuveen Wisconsin Municipal Bond Fund - Classes A, B, C & I - available for sale in CA,CO,FL,GA,IL,IN,KY,LA, MA-A only,NC,OH,OK,PA,VA,WI

Nuveen Multi-Manager Large-Cap Value Fund - Classes A, B, C, I & R3 - available for sale in all fifty states, US Virgin Islands and DC

Nuveen Moderate Allocation Fund - Classes A, B, C, I & R3 - available for sale in all fifty states, US Virgin Islands and DC

Nuveen Conservative Allocation Fund - Classes A, B, C, I & R3 - available for sale in all fifty states, US Virgin Islands and DC

Nuveen NWQ Multi-Cap Value Fund - Classes A, B, C, I & R3 - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Tradewinds International Value Fund - Classes A, B, C, I & R3 - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Tradewinds Global All-Cap Fund - Classes A, B, C, I & R3 - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Tradewinds Global All-Cap Plus Fund - Classes A, C, I & R3 - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Tradewinds Global Flexible Allocation Fund - Classes A, C, R3 & I - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Tradewinds Global Resources Fund - Classes A, C, R3 & I - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Tradewinds Emerging Markets Fund – Classes A, C, I & R3- available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Tradewinds Japan Fund – Classes A, C, I & R3- available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Tradewinds Value Opportunities Fund - Classes A, B, C, I & R3 - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Growth Allocation Fund - Classes A, B, C, I & R3 - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Santa Barbara Growth Fund – Classes A, C, I & R3 - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Santa Barbara Dividend Growth Fund - Classes A, B, C, I & R3 - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Santa Barbara International Equity Fund - Classes A, C, I & R3 - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen NWQ Large-Cap Value Fund – Classes A, B (available through exchange only), C, R3 & I - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen NWQ Small-Cap Value Fund – Classes A, C, R3 & I - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen NWQ Small/Mid-Cap Value Fund – Classes A, C, R3 & I - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Symphony Optimized Alpha Fund Classes A, C & I - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Symphony Large-Cap Value Fund Classes A, C, I & R3 - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Symphony Small-Mid Cap Core Fund Classes A, C, I & R3 - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Symphony Large-Cap Growth Fund Classes A, C, R3& I - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Symphony Mid-Cap Core Fund Classes A, C, I & R3 - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Symphony International Equity Fund Classes A, C & I - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Enhanced Core Equity Fund Classes A, C & I - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Enhanced Mid-Cap Fund Classes A C & I - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Winslow Large-Cap Growth Fund – A, C,I & R3 shares - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Multi-Strategy Core Bond Fund – Classes A, B, C, I & R3 - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen High Yield Bond Fund - Classes A, B, C, I & R3 - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Short Duration Bond Fund - Classes A, C, I & R3 - available for sale in all fifty states, PR, US Virgin Islands and DC


Nuveen Symphony Credit Opportunities Fund Classes A, C, I & R3 - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen Preferred Securities Fund - Classes A, C, I & R3 - available for sale in all fifty states, PR, US Virgin Islands and DC

Municipal Total Return Managed Accounts Portfolio - available for sale in all fifty states, PR, US Virgin Islands and DC

Enhanced Multi-Strategy Income Managed Accounts Portfolio - available for sale in all fifty states, PR, US Virgin Islands and DC

Nuveen California Tax Free Fund- Classes A, C, & Y- available for sale in CA,CO,FL,GA,IL,IN,KY,LA,MN,NC,NE,NH,NJ,OH,OR,PA,UT,VA,WY, Guam & US Virgin Islands

Nuveen Colorado Tax Free Fund- Classes A, C, & Y- available for sale in CA,CO,FL,GA,IL,IN,KY,LA,MN,NC,NE,NH,NJ,OH,PA,UT,VA,WY, Guam & US Virgin Islands

Nuveen Core Bond Fund- Classes A, B*, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Equity Income Fund - Classes A, B*, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Equity Index Fund - Classes A, B*, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Global Infrastructure Fund - Classes A, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen High Income Bond Fund - Classes A, B*, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Inflation Protected Securities Fund - Classes A, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Intermediate Government Bond Fund - Classes A, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Intermediate Tax Free Fund- Classes A, C & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Intermediate Term Bond Fund- Classes A & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen International Fund- Classes A, B*, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen International Select Fund- Classes A, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Large Cap Growth Opportunities Fund- Classes A, B*, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Large Cap Select Fund- Classes A, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Large Cap Value Fund- Classes A, B*, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Mid Cap Growth Opportunities Fund - Classes A, B*, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Mid Cap Index Fund- Classes A, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Mid Cap Select Fund- Classes A, B*, C & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Mid Cap Value Fund- Classes A, B*, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Minnesota Intermediate Municipal Bond Fund- Classes A, C, & Y- available for sale in CA,CO,FL,GA,IL,IN,KY,LA,MN,MO,MT,NC,NE,NH, NJ,NY,OH,PA,UT,VA,WA(A&C shares only),WI(A&C shares only),WY,Guam & US Virgin Islands

Nuveen Minnesota Municipal Bond Fund- Classes A, C, & Y- available for sale in AZ(A shares only),CA,CO,FL,GA, IL,IN,KY,LA,MN,MO, MT,NC,NE,NH,NJ,NY,OH,PA,UT,VA,WA(A shares only),WI(A&C shares only),WY, Guam & US Virgin Islands

Nuveen Missouri Tax Free Fund- Classes A, C, & Y- available for sale in CA,CO,FL,GA,IL,IN,KS,KY,LA,MN,MO, NC,NE,NH,NJ,NY,OH,PA,UT,VA,WI(A shares only),WY, Guam & US Virgin Islands

Nuveen Nebraska Municipal Bond Fund- Classes A, C, & Y- available for sale in CA,CO,FL,GA,IL,IN,KY,LA,MN,NC,NE,NH,NJ, OH,PA,UT, VA, WY, Guam & US Virgin Islands

Nuveen Ohio Tax Free Fund- Classes A, C, & Y- available for sale in CA,CO,FL,GA,IL,IN,KY,LA,MN,NC,NE,NH,NJ, OH,PA,UT,VA, WY, Guam & US Virgin Islands

Nuveen Oregon Intermediate Municipal Bond Fund A & Y- available for sale in CA,CO,FL,GA,IL,IN,KY,LA,MN,NC,NE,NH,NJ, OH,OR,PA,UT,VA, WA(A shares only),WY, Guam & US Virgin Islands

Nuveen Quantitative Large Cap Core Fund- Classes A, C & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Real Estate Securities Fund- Classes A, B*, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Short Tax Free Fund- Classes A & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Short Term Bond Fund- Classes A, C & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Small Cap Growth Opportunities Fund- Classes A, B*, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Small Cap Index Fund- Classes A, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Small Cap Select Fund- Classes A, B*, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Small Cap Value Fund- Classes A, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Tactical Market Opportunities Fund- Class Y - available for sale in all fifty states (except CT), Guam, PR, US Virgin Islands and DC

Nuveen Tax Free Fund- Classes A, C & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Total Return Bond Fund- Classes A, B*, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Strategy Aggressive Growth Allocation Fund- Classes A, B*, C, R** & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Strategy Balanced Allocation Fund- Classes A, B*, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Strategy Conservative Allocation Fund- Classes A, B*, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

Nuveen Strategy Growth Allocation Fund- Classes A, B*, C, R & Y- available for sale in all fifty states, Guam, PR, US Virgin Islands and DC

 

* B shares not registered in DC,IA,MA,MD,ME,MI,MS,NM,OK,SD,TN,TX,VT,WA, & PR; for High Income Bond, International Fund, Large Cap Growth Opportunities, Mid Cap Growth Opportunities, Mid Cap Select, Small Cap Growth Opportunities, Small Cap Select, Strategy Aggressive Growth Allocation, Strategy Balanced Allocation, Strategy Conservative Allocation, Strategy Growth Allocation & Total Return Bond -B shares also are not registered in WV
** R shares not registered in Guam


NSCC Implementation Form

 

Mutual Fund Company:

 

In what capacity will trades be placed?

¨  Broker/Dealer                                     ¨  Trust Company                                    ¨  TPA

 

Firm Name

 

 
Address:  
   
   

 

Contact name & telephone number:

 

 

Is mutual fund trade activity submitted through a CLEARING FIRM?  ¨  YES  ¨  NO

If yes, the information below must be provided by the CLEARING DEALER

 

Name of CLEARING DEALER      

 

NSCC Clearing Number    Alpha Code
   
Networking position file schedule:   

¨  1st & 3rd  ¨   2nd & 4th  ¨  2nd & last

¨  other:                                                          

Are orders submitted for a correspondent firm at a dealer level or branch level?

If dealer level, the executing symbol is required

  

¨  Dealer Level

using symbols

  

¨  Branch Level

 

What time of day will your orders release

to

   ¨  8 a.m. to 4 p.m.   

¨  DCC&S

Late Files

NSCC?        
Fund/SERV orders will settle in how many days?    ¨  T+1    ¨  T+3

If T+1 settlement will all orders settle T+1,

or will settlement override be used?

   ¨  All orders will settle T+1
     ¨  Settlement date override will be used

Will Post Settlement Corrections be initiated

via Fund/SERV?

   ¨  Yes

 

Do you participate in NSCC Commission

Settlement Service?

  

¨  No

¨  Yes, for all commissions, fees, and 12b-1s

¨  Yes, for 12b-1s and finders fees only

¨  Yes, for commissions only

¨  Not using NSCC Commission Settlement

¨  TEST ONLY   
¨  LIVE TRANSMISSIONS   

*If clearing through Pershing, please specify if your firm clearing at level zero directly held accounts or are they only level three.*

Special processing requirements:

   
   
   

 

Boston Financial NSCC Support Services

                Telephone: (617) 483-7911

   Fax: (816) 218-0479   

 


CONFIRMATION OF POLICIES AND PROCEDURES

TO PREVENT FREQUENT TRADING

In connection with the agreement between the undersigned company (“Company”) and Nuveen Investments, LLC (“Nuveen”) concerning the sale of shares of open-end mutual funds sponsored by Nuveen (each a “Fund” and collectively the “Funds”), Company confirms the following:

 

  (i) Company will provide to Nuveen upon request sufficient information as may be reasonably necessary to enable Nuveen to implement and enforce the Funds’ frequent trading policy as set forth in the Funds’ registration statements and/or will implement and enforce Company’s policies and procedures that are reasonably designed to detect and prevent the frequent trading of Fund shares;

 

  (ii) Company and its agents will implement and enforce polices and procedures reasonably designed to detect and prevent the aggregation of orders received by Company after a Fund’s daily pricing time with those received before such time;

 

  (iii) Company’s agents will assess any applicable redemption fees as set forth in a Fund’s registration statement; and

 

  (iv) Company will notify Nuveen promptly in the event of a material change in its ability to comply with the foregoing.

 

Company:   

 

  
By:   

 

  
Title:   

 

  
Date: