Waddell & Reed Financial, Inc. Business Operations Contracts & Agreements

51 Contracts & Agreements
Browse by Subcategory
Recent Contracts
Category
Company
Industry
Jur. Jurisdiction
Filed
Ivy Funds, Inc. Amended and Restated Distribution and Service Plan for Multiple Share Classes
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Ivy Funds Amended Distribution and Service Plan for Multiple Share Classes (Ivy Funds and Ivy Funds Distributor, Inc.)
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Ivy Funds Distribution and Service Plan for Class A, B, C, E, and Y Shares
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Distribution and Service Plan for Class C Shares between Waddell & Reed Advisors Funds and Waddell & Reed, Inc.
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Distribution and Service Plan for Class B Shares between Waddell & Reed Advisors Funds and Waddell & Reed, Inc.
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Distribution and Service Plan for Class A Shares between Waddell & Reed Advisors Funds and Waddell & Reed, Inc.
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Distribution Agreement between Ivy Funds and Ivy Funds Distributor, Inc. (IFDI)
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Shareholder Servicing Agreement between Ivy Funds and Waddell & Reed Services Company (WRSCO)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2010
Shareholder Servicing Agreement between Waddell & Reed Advisors Funds and Waddell & Reed Services Company (2009)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2010
Investment Management Agreement between Ivy Funds and Ivy Investment Management Company (IICO)
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Accounting and Administrative Services Agreement between Ivy Funds, Inc. and Waddell & Reed Services Company
Administration Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Accounting and Administrative Services Agreement between Ivy Funds and Waddell & Reed Services Company
Administration Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Accounting and Administrative Services Agreement between Ivy Funds and Waddell & Reed Services Company
Administration Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Ivy Funds, Inc. Amended and Restated Distribution and Service Plan (Rule 12b-1) with Ivy Fund Distributors, Inc.
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Distribution Agreement between Ivy Funds, Inc. and Ivy Funds Distributor, Inc. (Amended and Restated September 3, 2003)
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Shareholder Servicing Agreement between W&R Funds, Inc. and Waddell & Reed Services Company (as amended)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2008
Stipulation for Consent Order Between Kansas Securities Commissioner and Waddell & Reed Entities
Settlement Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2006
Assurance of Discontinuance Between New York Attorney General and Waddell & Reed, Inc. Regarding Mutual Fund Market Timing
Settlement Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2006
Offer of Settlement by Waddell & Reed Entities with SEC Regarding Market Timing Practices
Settlement Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2006
Variable Products Distribution Agreement among Minnesota Life Insurance Company, Securian Financial Services, Inc., and Waddell & Reed, Inc.
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
MN
2005
Termination and Replacement Agreement among Waddell & Reed Financial, Inc., Lenders, and JPMorgan Chase Bank (October 10, 2003)
Termination Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2004
Compensation and Product Development Agreement between United Investors Life and Waddell & Reed, Inc. (July 1999)
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2002
Administrative Agreement between W & R Insurance Agency, Inc., Waddell & Reed Inc., and BISYS Insurance Services, Inc.
Administration Agreements
Waddell & Reed Financial, Inc.
Capital Markets
PA
2002
Administrative and Shareholder Servicing Agreement between Waddell & Reed InvestEd Portfolios, Inc. and Waddell & Reed Services Company
Administration Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2002
Investment Management Agreement between Waddell & Reed InvestEd Portfolios and Waddell & Reed Investment Management Company (April 30, 2009)
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2013
Administrative and Marketing Services Agreement between Nationwide Life Insurance Companies and Waddell & Reed, Inc.
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
OH
2013
Investment Management Agreement between Ivy Funds and Ivy Investment Management Company (IICO)
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2012
Master Business Management and Investment Advisory Agreement between Ivy Fund and Waddell & Reed Ivy Investment Company (2002)
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Ivy Funds Variable Insurance Portfolios Service Plan with Waddell & Reed, Inc. (Effective April 30, 2009)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Shareholder Servicing Agreement between W&R Funds, Inc. and Waddell & Reed Services Company (as amended)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2010
Investment Management Agreement between Ivy Funds, Inc. and Ivy Investment Management Company (Amended and Restated November 15, 2005)
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Investment Management Agreement between Ivy Funds and Ivy Investment Management Company (Amended and Restated November 16, 2005)
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Accounting Services Agreement between Ivy Funds Variable Insurance Portfolios and Waddell & Reed Services Company (April 30, 2009)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Accounting Services Agreement between Waddell & Reed Advisors Funds and Waddell & Reed Services Company (2009)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Indemnification Agreement between Waddell & Reed Financial, Inc. and Indemnitee (November 13, 2009)
Indemnification Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2009
Administrative Services Agreement between Nationwide Life Insurance Companies and Waddell & Reed, Inc.
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
OH
2009
W&R Target Funds, Inc. Service Plan with Waddell & Reed, Inc.
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Investment Management Agreement between Ivy Funds, Inc. and Ivy Investment Management Company (Amended and Restated November 16, 2005)
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Investment Management Agreement between Waddell & Reed Advisors Asset Strategy Fund, Inc. and Waddell & Reed Investment Management Company
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Accounting Services Agreement between Waddell & Reed Advisors Asset Strategy Fund, Inc. and Waddell & Reed Services Company
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008