Document/Exhibit Description Pages Size
1: 485APOS Van Eck Funds 117 573K
60: EX-27.1 ƒ Financial Data Schedule 2 21K
61: EX-27.2 Financial Data Schedule 2 21K
62: EX-27.3 Financial Data Schedule 2 21K
63: EX-27.4 Financial Data Schedule 2 21K
64: EX-27.5 Financial Data Schedule 2 21K
65: EX-27.6 Financial Data Schedule 2 21K
66: EX-27.7 Financial Data Schedule 2 21K
67: EX-27.8 Financial Data Schedule 2 21K
50: EX-99.10.10 Opinion of Goodwin, Proctor & Hoar-Class B Global 1 21K
Har
45: EX-99.10.2 Opinion of Goodwin, Proctor & Hoar W/Respect to 1 20K
Gold/
46: EX-99.10.4 Opinion of Goodwin, Proctor & Hoar-Int'L. 1 20K
Investors
47: EX-99.10.5 Opinion of Goodwin, Proctor & Hoar-Asia Dynasty 1 22K
Fund
48: EX-99.10.6 Opinion of Goodwin, Proctor & Hoar-Class B Asia 2± 22K
Dynas
49: EX-99.10.8 Opinion of Goodwin, Proctor & Hoar-Global Hard 1 21K
Assets
51: EX-99.11 Consent of Independent Accountants 1 19K
52: EX-99.14C Registrant's Form of Simplified Employee Plan 29 56K
53: EX-99.14D Amendments to the Retirement Plan for Self-Employe 88 175K
54: EX-99.15A2 Plan of Distribution W/Respect to Asia Dynasty Fun 7 38K
55: EX-99.15A3 Plan of Distribution W/Respect to Class B-Asia Dyn 12 57K
56: EX-99.15A5 Plan of Distribution Pursuant to Rule 12B-1 Class 5 37K
C
57: EX-99.15A6 Plan of Distribution to Rule 12B-1 (Global Hard 3 22K
Ass
58: EX-99.15A8 Plan of Distribution Pursuant to Rule 12B-1 (Class 5 35K
B
59: EX-99.18 Power of Attorney 1 20K
2: EX-99.1A1 Master Trust Agreement 31 114K
3: EX-99.1A2 Amendment No. 1 to Master Trust Agreement 2 19K
4: EX-99.1A3 Amendment No. 2 to Master Trust Agreement 2 19K
5: EX-99.1A4 Amendment No. 3 to Master Trust Agreement 2 20K
6: EX-99.1A5 Amendment No. 4 to Master Trust Agreement 2 20K
7: EX-99.1A6 Amendment No. 5 to Master Trust Agreement 2 20K
8: EX-99.1A7 Amendment No. 6 to Master Trust Agreement 4 25K
9: EX-99.1A8 Amendment No. 7 to Master Trust Agreement 3 21K
10: EX-99.1B1 Amended and Restated Master Trust Agreement 35 128K
19: EX-99.1B10 Amendment No. 9 to Amended & Restated Master Trust 2 23K
Ag
11: EX-99.1B2 Amended and Restated Master Trust Agreement 3 22K
12: EX-99.1B3 Amendment No. 2 to Amended & Restated Master Trust 2 22K
Ag
13: EX-99.1B4 Amendment No. 3 to Amended & Restated Master Trust 2 23K
Ag
14: EX-99.1B5 Amendment No. 4 to Amended & Restated Master Trust 3 25K
Ag
15: EX-99.1B6 Amendment No. 5 to Amended & Restated Master Trust 5 31K
Ag
16: EX-99.1B7 Amendment No. 6 to Amended & Restated Master Trust 5 30K
Ag
17: EX-99.1B8 Amendment No. 7 to Amended & Restated Master Trust 2 23K
Ag
18: EX-99.1B9 Amendment No. 8 to Amended & Restated Master Trust 4 29K
Ag
20: EX-99.2 By-Laws of Van Eck Funds 7 34K
21: EX-99.5A Advisory Agreement 10 41K
22: EX-99.5B1 Letter Agreement to Add Gold/Resources Fund 2 20K
23: EX-99.5C Form of Advisory Agreement 7 37K
24: EX-99.5D Advisory Agreement Between Van Eck 9 39K
25: EX-99.5E2 Letter Agreement to Add Gold/Resources Fund & Inte 1 20K
26: EX-99.5F Advisory Agreement Between Van Eck Associates & in 11 46K
27: EX-99.5G Sub-Investment Advisory Agreement 9 54K
28: EX-99.6A Distribution Agreement 7 38K
29: EX-99.6B1 Letter Agreement to Add Gold/Resources Fund & U.S. 2 21K
Go
30: EX-99.6B3 Form of Van Eck Funds 1 20K
31: EX-99.6C2 Letter Agreement to Add Global Hard Assets Fund 1 20K
32: EX-99.6C3 Letter Agreement to Add Global Hard Assets Fund 1 20K
33: EX-99.6D Amendment to Form of Selling Group Agreement 4 39K
34: EX-99.6E Selling Group Agreement 7 38K
35: EX-99.7 Deferred Fee Agreement 3 32K
36: EX-99.8A Global Custody Agreement 22 93K
37: EX-99.8B Global Custody Agreement 22 92K
38: EX-99.9A Procedural Agreement Among Merrill Lynch Futures 54 124K
39: EX-99.9B Commodity Customer's Agreement 14± 65K
40: EX-99.9C Agreement & Plan of Redomicile & Reorganization 4 31K
41: EX-99.9D Form of Accounting & Administrative Services 6 39K
Agreeme
42: EX-99.9E Accounting & Administrative Services Agreement 9 43K
43: EX-99.9F2 Letter of Agreement to Add Gold/Resources Fund 3 23K
44: EX-99.9F3 Letter Agreement to Add Global Hard Assets Fund 1 20K
VAN ECK SECURITIES CORPORATION
122 East 42nd Street
(212) 687-5200 - Toll free (800) 221-2220
SELLING AGENCY AGREEMENT FOR THE SALE OF SHARES OF
INTERNATIONAL INVESTORS INCORPORATED
AND VAN ECK FUNDS
February 7, 1989
Dear Sirs:
As national and international distributor of shares for, and as agent of,
International Investors Incorporated and each of the series currently or
hereafter established under the Van Eck Funds Master Trust Agreement
(collectively, the "Funds"), we enclose a copy of the current prospectuses of
the Funds and invite you to make available to your customers shares in the Funds
(the "Shares") upon the following terms:
1. In all sales of Shares through us we shall act as the Funds' agent. In
all sales of Shares by you to your customers you shall act as agent for your
customers and in no transaction shall you have any authority to act or hold
yourself out as agent of the Funds or as our agent. That is, you shall act as
broker for your customers and your customers' transactions will be executed only
upon your authorization, and on all such transactions you shall be acting solely
as agent, upon the order and at the request of your customers and such
transactions shall be for the account of your customers and not for your own
account. You guarantee the legal capacity of your customers and any co-owners
transacting in Shares.
2. The public offering price at which the Shares may be sold is the net
asset value thereof, as computed from time to time, plus a selling commission,
if any, as described in the prospectus currently in effect with respect to each
of the Shares at the time the purchase order is effective. As compensation for
each sale of Shares to your customers hereunder, you will be allowed the
discount, if any, on such Shares as described in the then current prospectus of
the Fund whose Shares are sold. The current public offering prices of the
Shares, commissions and discounts are set forth in Exhibit A hereto which
exhibit may be amended from time to time by us upon notice to you.
For shareholder support services you provide to your customers in respect
of Shares of the Gold/Resources Fund, U.S. Government Money Fund, World Trends
Fund or World Income Fund of Van Eck Funds and each additional series of the Van
Eck Funds hereafter established with a Plan of Distribution pursuant to Rule
12b-1 of the Investment Company Act of 1940 (the "Van Eck Funds"), we shall pay
you a fee at an annual rate of 0.25% of the net asset value of Shares of each of
such Van Eck Funds owned by those customers of your firm whose records, as
maintained by Van Eck Funds or its agent, designate your firm as the customer's
broker of record. The l2b-1 compensation will be calculated by taking the
average daily balance in each shareholder account during the year, for which
your firm is designated as the broker of record and multiplying it by the
compensation factor of 25 basis points (0.25%). Shareholder support services
include but are not limited to furnishing services and assistance to your
customers who invest in and own Shares of such Van Eck Funds, answering routine
inquiries, assisting in changing distribution options, account designations and
addresses. No such fee will be paid to you with respect to Shares of such Van
Eck Funds purchased by any of your customers and redeemed or repurchased by Van
Eck Funds or by us as agent within (7) seven business days after the date of our
confirmation of such purchase. No such fee will be paid to you if the total
amount of such fees based upon the value of your customers' Shares of the Van
Eck Funds will be less than $50.00. You shall furnish us and Van Eck Funds with
such information as shall be reasonably requested by the Trustees of Van Eck
Funds with respect to the fees paid to you. The provisions of this Paragraph may
be terminated as to any of the Van Eck Funds by the vote of a majority of the
Trustees of Van Eck Funds who are non-interested Trustees or by a vote of a
majority of the outstanding shares of a Fund on sixty (60) days written notice,
without payment of any penalty. These provisions will also be terminated by any
act which terminates either the Distribution Agreement between Van Eck Funds and
Van Eck Securities Corporation or this Selling Agency Agreement.
The public offering prices, commissions and discounts may be revised by us
at any time, but any change will not affect selling commissions and discounts on
sales for which orders have been accepted by us.
The Initial Offering of Shares of a Fund as defined in the prospectus for
the Shares shall be on such terms as described in the then current prospectus of
the Fund whose Shares are being sold.
In addition to the discounts, if any, allowed pursuant to the foregoing
provisions of this Section 2, we may from time to time provide additional
concessions to brokers and others whose representatives sell, during a specific
period, a minimum dollar amount of the Shares of a Fund. Such additional
concessions may take the form of merchandise or payment for travel expenses
incurred in connection with trips taken by person designated by the broker or
other person. If non-cash concessions are provided, each broker or other person
earning such a concession may elect to receive a cash amount equivalent to our
cost of providing such
concessions. Notice of availability of concessions will be given to you by us
and if any concessions are earned by you, the value thereof is includable in
your income, if you are an NASD member, for NASD assessment purposes.
3. You agree to purchase Shares through us only for the purpose of
covering purchase orders already received by you from your customers or from
your own bona fide investment.
4. In acting as agent for your customers you agree that shares will be
sold only at the public offering price then in effect with respect to such
Shares and all such sales shall be in accordance with the then current
prospectus for such Shares; to transmit promptly upon receipt any and all orders
received by you (such orders must be received by us no later than 5:00 pm New
York time); not to withhold placing customers' orders with us in order thereby
to make a profit for yourself; you will take up and pay for Shares confirmed to
you. In acting as agent for your customer in selling Shares to us, you agree not
to charge your customer more than a fair commission for handling the
transaction. orders received for Shares of a Fund from you on behalf of your
customers will be accepted by us for such Fund only at the public offering price
applicable to each order, as established in accordance with the provisions of
such Fund's then current prospectus. The procedure stated herein relating to the
pricing and handling of orders shall be subject to instructions which we may
forward from time to time to all brokers and others with which we have entered
into an agreement.
5. If any shares of a Fund confirmed to you under this agreement are
repurchased by us as agent of a Fund, or are tendered for redemption, within
seven business days after confirmation by us of the original purchase order or
the Closing Date, as defined in a prospectus for a Fund, you shall forthwith
refund to us for the account of such Fund the full discount allowed to you on
the sale. We are obligated to pay to such Fund our share of the selling
commission on such Shares and upon receipt by us of your discount to pay the
same to such Fund. We shall notify you of such repurchase within ten days after
the date on which each certificate or appropriate redemption or repurchase
request is delivered to us or to such Fund.
6. All sales shall be subject to our confirmation. All orders so placed
shall be firm orders. All orders are subject to acceptance or rejection by us in
our sole discretion, and by the Funds in their sole discretion. Please telephone
"wire-orders" to Van Eck Securities Corporation (800) 221-2220, or in New York
(212) -687-5200. "Direct-mail" orders should be sent to ATTN: "NAME OF FUND,"
DST Systems, Inc., 21 West Tenth Street, Kansas City, MO 64105.
7. Payment of the public offering price, less your discount, if any, for
Shares ordered from us on behalf of your customers during a Continuous offering
of Shares of a Fund shall be made by
check payable to International Investors Incorporated or Van Eck Funds: "NAME OF
FUND" in New York clearing house funds, which check should be sent to ATTN:
"NAME OF FUND," DST Systems, Inc., 21 West Tenth Street, Kansas City, MO 64105,
within five business days after our acceptance of your order or such lesser
period as then may be permitted by law or regulation. If such payment is not
received within said time period, interest at the prime rate in effect at
Citibank N.A., may be added to the amount due us and we reserve the right
without notice to cancel the sale or at our option to return the Shares to the
issuer for redemption or repurchase. In the latter case we shall have the right
to hold you responsible for any loss, including loss of profit, resulting to us.
Should payment be made by check, delivery of certificates may be delayed pending
clearance of your check. Upon receipt of payment in conformity with the above,
Shares so ordered will be issued in or transferred into such names as you may
designate and forwarded as promptly as possible in accordance with your
instructions.
Payment for Shares purchased during an Initial Offering of Shares of a Fund
shall be made on such date and in accordance with such terms as described in the
then current prospectus of the Fund whose Shares are sold or as we may advise.
8. All sales through us shall be subject to the issuance of Shares to us
by the Funds. We and the Funds reserve the right to suspend sales without
notice, or to withdraw the offering of Shares entirely.
9. The Funds have authorized us as their agent and subject to their
direction to repurchase Shares at the repurchase price currently being quoted by
the Funds. This authority is supplementary to the obligation of the Funds to
redeem Shares tendered them for redemption as described in the Funds' current
prospectuses. No commissions are payable to us or by us in respect of any such
repurchase by us as such agent. Please telephone "wire-order" liquidation
requests to Van Eck Securities Corporation (800) 221-2220, or in New York (212)
687-5200 (such orders must be received by us no later than 5:00 pm New York time
to obtain the redemption price for such day). "Direct-mail" liquidation requests
should be sent to ATTN: "NAME OF FUND," DST Systems, Inc., 21 West Tenth Street,
Kansas City, MO 64105.
10. We will notify you of each series, including the applicable discounts
and commissions, established hereafter under the Van Eck Funds Master Trust
Agreement which series shall thereupon be deemed one of the Funds and supply to
you in reasonable quantities additional copies of any current prospectuses and
such sales literature for the Funds as may from time to time be issued. You are
not authorized to give any information other than that, or to make any
representations other than those contained in the then currently effective
registration statements or prospectuses or supplemental information thereto or
in any sales literature then currently issued or approved by the Funds.
11. We represent that we are members of the National Association of
Securities Dealers, Inc. Your acceptance of this agreement constitutes a
representation to us that you are either (i) a properly registered or licensed
broker or dealer under federal and state securities laws and regulations and a
member of the National Association of Securities Dealers, Inc. and agree to be
bound by the rules of such Association or (ii) a bank as defined in Section 3
(a) (6) of the Securities Exchange Act of 1934, as amended, and are duly
authorized to enter into the transactions subject to this agreement.
12. You are not employed or retained for any purpose as broker, agent or
employee by us or by the Funds, and you are not authorized in any manner to act
for, or to make any representations on behalf of, us or the funds. Nothing
herein shall constitute you, other persons signing this agreement or the
undersigned as partners; however, you agree to bear your proportionate share, if
any, of any claim, demand or liability for transfer taxes asserted against you,
such other persons or us based on the theory that you, such other persons and we
or any two or more of us, constitute an association, unincorporated business or
other entity, and your proportionate share of any expenses defending any such
claim, demand or liability.
13. From time to time or upon application we will inform you as to the
states in which the Funds' Shares have been qualified for sale.
14. Your first order placed with us for the purchase of Shares will
represent your acceptance of this agreement.
15. All communications should be sent to us at the above address. Any
notice to you shall be duly given if mailed or telegraphed to you at the address
specified by you below.
16. This agreement may be terminated by either of us at any time by
written notice to the other and shall terminate automatically if, as the case
may be, either of us ceases to be a member of the National Association of
Securities Dealers, Inc. or if you cease to be a bank as defined above.
17. This agreement shall be governed by and interpreted in accordance with
the laws of the state of New York.
Very Truly Yours,
VAN ECK SECURITIES CORPORATION
Date: ____________________________ By:__________________________________
We accept and agree to the terms and conditions set forth in this agreement
and acknowledge receipt of the prospectuses enclosed herewith.
Firm: _______________________________________
Date: __________________ By: _______________________________________
Address: _______________________________________
_______________________________________
EXHIBIT A
INTERNATIONAL INVESTORS INCORPORATED
[Download Table]
Discount to
Sales Charge as a Broker-Dealers
Percentage of as a Percentage
----------------
Offering Net Amount of the Public
Price Invested Offering Price
--------- ---------- ---------------
Dollar Amount of Purchase
-------------------------
Less than $10,000 8.5% 9.3% 7.0%
$10,000 to less than $25,000 7.5% 8.1% 6.25%
$25,000 to less than $50,000 6.25% 6.7% 5.0%
$50,000 to less than $100,000 5.0% 5.3% 4.0%
$100,000 to less than $250,000 3.5% 3.6% 2.8%
$250,000 to less than $500,000 2.5% 2.6% 2.0%
$500,000 to less than $1,000,000 2.0% 2.0% 1.6%
$1,000,000 to less than $3,000,000 1.0% 1.0% 0.8%
$3,000,000 and over 0.5% 0.5% 0.4%
VAN ECK FUNDS
WORLD TRENDS FUND, GOLD/RESOURCES AND WORLD INCOME FUND
[Download Table]
Discount to
Sales Charge as a Broker-Dealers
Percentage of as a Percentage
----------------
Offering Net Amount of the Public
Price Invested Offering Price
--------- ---------- ---------------
Dollar Amount of Purchase
-------------------------
Less than $10,000 7.5% 8.1% 6.0%
$10,000 to less than $25,000 6.25% 6.7% 5.0%
$25,000 to less than $50,000 5.0% 5.3% 4.0%
$50,000 to less than $100,000 4.0% 4.2% 3.2%
$100,000 to less than $250,000 3.0% 3.1% 2.4%
$250,000 to less than $500,000 2.5% 2.6% 2.0%
$500,000 to less than $1,000,000 2.0% 2.0% 1.6%
$1,000,000 to less than $3,000,000 1.0% 1.0% 0.8%
$3,000,000 to less than $4,000,000 0.5% 0.5% 0.4%
$4,000,000 and over -0- -0- -0-
U.S. GOVERNMENT MONEY FUND
No Sales Charge
12/15/88
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