-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HQ8GEoZTxCizZW2Dj3/Cae9uCjVzkEWE3THZT3DdPhbRmdFIt/BarT+RItctZKor i2a/M2ucdVSVbm3YiQW5dA== 0000940400-06-000569.txt : 20061030 0000940400-06-000569.hdr.sgml : 20061030 20061030141944 ACCESSION NUMBER: 0000940400-06-000569 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 8 CONFORMED PERIOD OF REPORT: 20060831 FILED AS OF DATE: 20061030 DATE AS OF CHANGE: 20061030 EFFECTIVENESS DATE: 20061030 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RBB FUND INC CENTRAL INDEX KEY: 0000831114 IRS NUMBER: 510312196 STATE OF INCORPORATION: MD FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-05518 FILM NUMBER: 061171540 BUSINESS ADDRESS: STREET 1: 400 BELLEVUE PKWY STE 100 CITY: 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A002000 N 059 002000 Y 060 A002000 Y 060 B002000 Y 061 002000 3000 062 A002000 N 062 B002000 0.0 062 C002000 0.0 062 D002000 0.0 PAGE 20 062 E002000 0.0 062 F002000 0.0 062 G002000 0.0 062 H002000 0.0 062 I002000 0.0 062 J002000 0.0 062 K002000 0.0 062 L002000 0.0 062 M002000 0.0 062 N002000 0.0 062 O002000 0.0 062 P002000 0.0 062 Q002000 0.0 062 R002000 0.0 066 A002000 Y 066 B002000 N 066 C002000 Y 066 D002000 N 066 E002000 N 066 F002000 N 066 G002000 N 067 002000 N 068 A002000 N 068 B002000 N 069 002000 N 070 A012000 Y 070 A022000 Y 070 B012000 Y 070 B022000 N 070 C012000 Y 070 C022000 N 070 D012000 Y 070 D022000 N 070 E012000 Y 070 E022000 N 070 F012000 Y 070 F022000 N 070 G012000 Y 070 G022000 N 070 H012000 Y 070 H022000 N 070 I012000 Y 070 I022000 N 070 J012000 Y 070 J022000 N 070 K012000 Y 070 K022000 N 070 L012000 Y 070 L022000 N 070 M012000 Y 070 M022000 N PAGE 21 070 N012000 Y 070 N022000 Y 070 O012000 Y 070 O022000 N 070 P012000 Y 070 P022000 N 070 Q012000 Y 070 Q022000 N 070 R012000 Y 070 R022000 N 071 A002000 102620 071 B002000 119252 071 C002000 40274 071 D002000 255 072 A002000 12 072 B002000 39 072 C002000 257 072 D002000 0 072 E002000 16 072 F002000 154 072 G002000 181 072 H002000 0 072 I002000 48 072 J002000 14 072 K002000 0 072 L002000 11 072 M002000 18 072 N002000 15 072 O002000 0 072 P002000 0 072 Q002000 0 072 R002000 15 072 S002000 8 072 T002000 0 072 U002000 0 072 V002000 0 072 W002000 34 072 X002000 498 072 Y002000 59 072 Z002000 -127 072AA002000 5263 072BB002000 0 072CC012000 0 072CC022000 2375 072DD012000 0 072DD022000 0 072EE002000 3933 073 A012000 0.0000 073 A022000 0.0000 073 B002000 1.4200 073 C002000 0.0000 PAGE 22 074 A002000 0 074 B002000 609 074 C002000 0 074 D002000 0 074 E002000 0 074 F002000 29606 074 G002000 0 074 H002000 0 074 I002000 0 074 J002000 590 074 K002000 0 074 L002000 14 074 M002000 12 074 N002000 30831 074 O002000 467 074 P002000 12 074 Q002000 0 074 R012000 0 074 R022000 0 074 R032000 0 074 R042000 106 074 S002000 0 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409 028 C012100 2136 028 C022100 0 028 C032100 0 028 C042100 343 028 D012100 1696 028 D022100 0 028 D032100 0 028 D042100 288 028 E012100 2224 028 E022100 0 028 E032100 0 028 E042100 2200 028 F012100 3010 028 F022100 0 028 F032100 0 028 F042100 447 028 G012100 10490 028 G022100 0 028 G032100 0 028 G042100 3971 028 H002100 0 029 002100 N 030 A002100 0 030 B002100 0.00 030 C002100 0.00 031 A002100 0 PAGE 24 031 B002100 0 032 002100 0 033 002100 0 037 002100 Y 038 002100 9 039 002100 N 040 002100 N 041 002100 N 042 A002100 0 042 B002100 0 042 C002100 0 042 D002100 0 042 E002100 0 042 F002100 0 042 G002100 0 042 H002100 0 043 002100 0 044 002100 0 045 002100 Y 046 002100 N 047 002100 N 048 002100 0.000 048 A012100 0 048 A022100 0.000 048 B012100 0 048 B022100 0.000 048 C012100 0 048 C022100 0.000 048 D012100 0 048 D022100 0.000 048 E012100 0 048 E022100 0.000 048 F012100 0 048 F022100 0.000 048 G012100 0 048 G022100 0.000 048 H012100 0 048 H022100 0.000 048 I012100 0 048 I022100 0.000 048 J012100 0 048 J022100 0.000 048 K012100 0 048 K022100 0.000 049 002100 N 050 002100 N 051 002100 Y 052 002100 N 053 A002100 Y 053 B002100 Y 053 C002100 N PAGE 25 054 A002100 Y 054 B002100 Y 054 C002100 N 054 D002100 N 054 E002100 N 054 F002100 N 054 G002100 Y 054 H002100 N 054 I002100 N 054 J002100 N 054 K002100 N 054 L002100 N 054 M002100 Y 054 N002100 N 054 O002100 Y 055 A002100 N 055 B002100 N 056 002100 Y 057 002100 N 058 A002100 N 059 002100 Y 060 A002100 Y 060 B002100 Y 061 002100 3000 062 A002100 N 062 B002100 0.0 062 C002100 0.0 062 D002100 0.0 062 E002100 0.0 062 F002100 0.0 062 G002100 0.0 062 H002100 0.0 062 I002100 0.0 062 J002100 0.0 062 K002100 0.0 062 L002100 0.0 062 M002100 0.0 062 N002100 0.0 062 O002100 0.0 062 P002100 0.0 062 Q002100 0.0 062 R002100 0.0 066 A002100 Y 066 B002100 N 066 C002100 Y 066 D002100 N 066 E002100 N 066 F002100 N 066 G002100 N 067 002100 N 068 A002100 N PAGE 26 068 B002100 N 069 002100 N 070 A012100 Y 070 A022100 Y 070 B012100 Y 070 B022100 N 070 C012100 Y 070 C022100 N 070 D012100 Y 070 D022100 N 070 E012100 Y 070 E022100 N 070 F012100 Y 070 F022100 N 070 G012100 Y 070 G022100 N 070 H012100 Y 070 H022100 N 070 I012100 Y 070 I022100 N 070 J012100 Y 070 J022100 N 070 K012100 Y 070 K022100 N 070 L012100 Y 070 L022100 N 070 M012100 Y 070 M022100 N 070 N012100 Y 070 N022100 Y 070 O012100 Y 070 O022100 N 070 P012100 Y 070 P022100 N 070 Q012100 Y 070 Q022100 N 070 R012100 Y 070 R022100 N 071 A002100 119788 071 B002100 114679 071 C002100 37886 071 D002100 303 072 A002100 12 072 B002100 65 072 C002100 523 072 D002100 0 072 E002100 12 072 F002100 260 072 G002100 169 072 H002100 0 072 I002100 59 PAGE 27 072 J002100 14 072 K002100 0 072 L002100 17 072 M002100 16 072 N002100 14 072 O002100 0 072 P002100 0 072 Q002100 0 072 R002100 15 072 S002100 7 072 T002100 0 072 U002100 0 072 V002100 0 072 W002100 27 072 X002100 598 072 Y002100 56 072 Z002100 58 072AA002100 5266 072BB002100 0 072CC012100 0 072CC022100 1003 072DD012100 88 072DD022100 0 072EE002100 6257 073 A012100 0.0500 073 A022100 0.0000 073 B002100 3.5500 073 C002100 0.0000 074 A002100 0 074 B002100 1799 074 C002100 0 074 D002100 0 074 E002100 0 074 F002100 44245 074 G002100 0 074 H002100 0 074 I002100 0 074 J002100 1098 074 K002100 0 074 L002100 309 074 M002100 12 074 N002100 47463 074 O002100 1252 074 P002100 25 074 Q002100 0 074 R012100 0 074 R022100 0 074 R032100 0 074 R042100 139 074 S002100 0 074 T002100 46047 PAGE 28 074 U012100 2486 074 U022100 0 074 V012100 0.00 074 V022100 0.00 074 W002100 0.0000 074 X002100 1647 074 Y002100 0 075 A002100 0 075 B002100 39157 076 002100 0.00 008 A002301 BOSTON PARTNERS ASSET MANAGEMENT, LLC 008 B002301 A 008 C002301 801-49059 008 D012301 BOSTON 008 D022301 MA 008 D032301 02111 010 A002301 PFPC INC. 010 B002301 85-11196 010 C012301 WILMINGTON 010 C022301 DE 010 C032301 19809 013 A002301 PRICEWATERHOUSECOOPERS 013 B012301 PHILADELPHIA 013 B022301 PA 013 B032301 19103 015 A002301 PFPC TRUST CO 015 B002301 C 015 C012301 PHILADELPHIA 015 C022301 PA 015 C032301 19101 015 E012301 X 025 D002301 0 025 D002302 0 025 D002303 0 025 D002304 0 025 D002305 0 025 D002306 0 025 D002307 0 025 D002308 0 028 A012300 319 028 A022300 0 028 A032300 0 028 A042300 794 028 B012300 545 028 B022300 0 028 B032300 0 028 B042300 574 028 C012300 3139 028 C022300 0 028 C032300 0 028 C042300 397 PAGE 29 028 D012300 365 028 D022300 0 028 D032300 0 028 D042300 598 028 E012300 917 028 E022300 0 028 E032300 0 028 E042300 349 028 F012300 697 028 F022300 0 028 F032300 0 028 F042300 1314 028 G012300 5982 028 G022300 0 028 G032300 0 028 G042300 4026 028 H002300 0 029 002300 N 030 A002300 0 030 B002300 0.00 030 C002300 0.00 031 A002300 0 031 B002300 0 032 002300 0 033 002300 0 037 002300 N 038 002300 0 039 002300 N 040 002300 Y 041 002300 Y 042 A002300 0 042 B002300 0 042 C002300 0 042 D002300 100 042 E002300 0 042 F002300 0 042 G002300 0 042 H002300 0 043 002300 46 044 002300 20 045 002300 Y 046 002300 N 047 002300 Y 048 002300 0.600 048 A012300 0 048 A022300 0.000 048 B012300 0 048 B022300 0.000 048 C012300 0 048 C022300 0.000 048 D012300 0 PAGE 30 048 D022300 0.000 048 E012300 0 048 E022300 0.000 048 F012300 0 048 F022300 0.000 048 G012300 0 048 G022300 0.000 048 H012300 0 048 H022300 0.000 048 I012300 0 048 I022300 0.000 048 J012300 0 048 J022300 0.000 048 K012300 0 048 K022300 0.000 049 002300 N 050 002300 N 051 002300 N 052 002300 N 053 A002300 Y 053 B002300 Y 053 C002300 N 054 A002300 Y 054 B002300 Y 054 C002300 Y 054 D002300 N 054 E002300 N 054 F002300 N 054 G002300 Y 054 H002300 N 054 I002300 N 054 J002300 N 054 K002300 N 054 L002300 N 054 M002300 Y 054 N002300 N 054 O002300 Y 055 A002300 N 055 B002300 N 056 002300 Y 057 002300 N 058 A002300 N 059 002300 Y 060 A002300 Y 060 B002300 Y 061 002300 10000 062 A002300 N 062 B002300 0.0 062 C002300 0.0 062 D002300 0.0 062 E002300 0.0 PAGE 31 062 F002300 0.0 062 G002300 0.0 062 H002300 0.0 062 I002300 0.0 062 J002300 0.0 062 K002300 0.0 062 L002300 0.0 062 M002300 0.0 062 N002300 0.0 062 O002300 0.0 062 P002300 0.0 062 Q002300 0.0 062 R002300 0.0 063 A002300 0 063 B002300 0.0 066 A002300 Y 066 B002300 N 066 C002300 Y 066 D002300 N 066 E002300 N 066 F002300 N 066 G002300 N 067 002300 N 068 A002300 N 068 B002300 N 069 002300 N 070 A012300 Y 070 A022300 N 070 B012300 Y 070 B022300 N 070 C012300 Y 070 C022300 N 070 D012300 Y 070 D022300 N 070 E012300 Y 070 E022300 N 070 F012300 Y 070 F022300 N 070 G012300 Y 070 G022300 N 070 H012300 Y 070 H022300 N 070 I012300 Y 070 I022300 N 070 J012300 Y 070 J022300 N 070 K012300 Y 070 K022300 Y 070 L012300 Y 070 L022300 Y 070 M012300 Y PAGE 32 070 M022300 N 070 N012300 Y 070 N022300 N 070 O012300 Y 070 O022300 N 070 P012300 Y 070 P022300 N 070 Q012300 Y 070 Q022300 N 070 R012300 Y 070 R022300 N 071 A002300 39120 071 B002300 28339 071 C002300 48829 071 D002300 58 072 A002300 12 072 B002300 50 072 C002300 943 072 D002300 0 072 E002300 0 072 F002300 336 072 G002300 85 072 H002300 0 072 I002300 76 072 J002300 21 072 K002300 0 072 L002300 17 072 M002300 18 072 N002300 25 072 O002300 0 072 P002300 0 072 Q002300 0 072 R002300 17 072 S002300 8 072 T002300 46 072 U002300 0 072 V002300 0 072 W002300 9 072 X002300 658 072 Y002300 179 072 Z002300 514 072AA002300 5873 072BB002300 0 072CC012300 0 072CC022300 389 072DD012300 302 072DD022300 138 072EE002300 6094 073 A012300 0.1569 073 A022300 0.1270 073 B002300 2.0199 PAGE 33 073 C002300 0.0000 074 A002300 0 074 B002300 0 074 C002300 0 074 D002300 0 074 E002300 0 074 F002300 55844 074 G002300 0 074 H002300 0 074 I002300 1199 074 J002300 130 074 K002300 0 074 L002300 181 074 M002300 12 074 N002300 57366 074 O002300 206 074 P002300 8 074 Q002300 0 074 R012300 0 074 R022300 0 074 R032300 0 074 R042300 44 074 S002300 0 074 T002300 57108 074 U012300 2477 074 U022300 1429 074 V012300 14.53 074 V022300 14.77 074 W002300 0.0000 074 X002300 121 074 Y002300 0 075 A002300 0 075 B002300 50254 076 002300 0.00 008 A002401 BOSTON PARTNERS ASSET MANAGEMENT, LLC 008 B002401 A 008 C002401 801-49059 008 D012401 BOSTON 008 D022401 MA 008 D032401 02111 010 A002401 PFPC INC. 010 B002401 85-11196 010 C012401 WILMINGTON 010 C022401 DE 010 C032401 19809 013 A002401 PRICEWATERHOUSECOOPERS 013 B012401 PHILADELPHIA 013 B022401 PA 013 B032401 19103 015 A002401 PFPC TRUST CO, 015 B002401 C PAGE 34 015 C012401 PHILADELPHIA 015 C022401 PA 015 C032401 19101 015 E012401 X 025 D002401 0 025 D002402 0 025 D002403 0 025 D002404 0 025 D002405 0 025 D002406 0 025 D002407 0 025 D002408 0 028 A012400 457 028 A022400 0 028 A032400 0 028 A042400 27828 028 B012400 556 028 B022400 0 028 B032400 0 028 B042400 283 028 C012400 402 028 C022400 0 028 C032400 0 028 C042400 487 028 D012400 242 028 D022400 0 028 D032400 0 028 D042400 541 028 E012400 356 028 E022400 0 028 E032400 0 028 E042400 298 028 F012400 602 028 F022400 0 028 F032400 0 028 F042400 468 028 G012400 2615 028 G022400 0 028 G032400 0 028 G042400 29905 028 H002400 0 029 002400 N 030 A002400 0 030 B002400 0.00 030 C002400 0.00 031 A002400 0 031 B002400 0 032 002400 0 033 002400 0 037 002400 N 038 002400 0 PAGE 35 039 002400 N 040 002400 Y 041 002400 Y 042 A002400 0 042 B002400 0 042 C002400 0 042 D002400 100 042 E002400 0 042 F002400 0 042 G002400 0 042 H002400 0 043 002400 6 044 002400 2 045 002400 Y 046 002400 N 047 002400 Y 048 002400 0.800 048 A012400 0 048 A022400 0.000 048 B012400 0 048 B022400 0.000 048 C012400 0 048 C022400 0.000 048 D012400 0 048 D022400 0.000 048 E012400 0 048 E022400 0.000 048 F012400 0 048 F022400 0.000 048 G012400 0 048 G022400 0.000 048 H012400 0 048 H022400 0.000 048 I012400 0 048 I022400 0.000 048 J012400 0 048 J022400 0.000 048 K012400 0 048 K022400 0.000 049 002400 N 050 002400 N 051 002400 N 052 002400 N 053 A002400 Y 053 B002400 Y 053 C002400 N 054 A002400 Y 054 B002400 Y 054 C002400 Y 054 D002400 N 054 E002400 N PAGE 36 054 F002400 N 054 G002400 Y 054 H002400 N 054 I002400 N 054 J002400 N 054 K002400 N 054 L002400 N 054 M002400 Y 054 N002400 N 054 O002400 Y 055 A002400 N 055 B002400 N 056 002400 Y 057 002400 N 058 A002400 N 059 002400 Y 060 A002400 Y 060 B002400 Y 061 002400 10000 062 A002400 N 062 B002400 0.0 062 C002400 0.0 062 D002400 0.0 062 E002400 0.0 062 F002400 0.0 062 G002400 0.0 062 H002400 0.0 062 I002400 0.0 062 J002400 0.0 062 K002400 0.0 062 L002400 0.0 062 M002400 0.0 062 N002400 0.0 062 O002400 0.0 062 P002400 0.0 062 Q002400 0.0 062 R002400 0.0 066 A002400 Y 066 B002400 N 066 C002400 Y 066 D002400 N 066 E002400 N 066 F002400 N 066 G002400 N 067 002400 N 068 A002400 N 068 B002400 N 069 002400 N 070 A012400 Y 070 A022400 N 070 B012400 Y PAGE 37 070 B022400 N 070 C012400 Y 070 C022400 N 070 D012400 Y 070 D022400 N 070 E012400 Y 070 E022400 N 070 F012400 Y 070 F022400 N 070 G012400 Y 070 G022400 N 070 H012400 Y 070 H022400 N 070 I012400 Y 070 I022400 N 070 J012400 Y 070 J022400 N 070 K012400 Y 070 K022400 Y 070 L012400 Y 070 L022400 Y 070 M012400 Y 070 M022400 N 070 N012400 Y 070 N022400 N 070 O012400 Y 070 O022400 N 070 P012400 Y 070 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R023600 N 071 A003600 66901 071 B003600 75657 071 C003600 48079 071 D003600 139 072 A003600 12 072 B003600 0 072 C003600 728 072 D003600 0 072 E003600 7 072 F003600 455 072 G003600 82 072 H003600 0 072 I003600 91 072 J003600 22 072 K003600 0 072 L003600 4 072 M003600 17 072 N003600 13 072 O003600 0 072 P003600 0 072 Q003600 0 072 R003600 11 072 S003600 9 072 T003600 10 072 U003600 0 072 V003600 0 072 W003600 11 072 X003600 725 072 Y003600 0 072 Z003600 10 072AA003600 4377 072BB003600 0 072CC013600 0 072CC023600 867 PAGE 83 072DD013600 0 072DD023600 0 072EE003600 5701 073 A013600 0.0000 073 A023600 0.0000 073 B003600 1.9828 073 C003600 0.0000 074 A003600 0 074 B003600 0 074 C003600 0 074 D003600 0 074 E003600 0 074 F003600 44983 074 G003600 0 074 H003600 0 074 I003600 3635 074 J003600 0 074 K003600 0 074 L003600 45 074 M003600 14 074 N003600 48677 074 O003600 0 074 P003600 37 074 Q003600 0 074 R013600 0 074 R023600 0 074 R033600 0 074 R043600 33 074 S003600 0 074 T003600 48607 074 U013600 2940 074 U023600 0 074 V013600 16.54 074 V023600 0.00 074 W003600 0.0000 074 X003600 1472 074 Y003600 0 075 A003600 0 075 B003600 50610 076 003600 0.00 008 A003701 WEISS PECK & GREER, LLC 008 B003701 A 008 C003701 801-6604 008 D013701 NEW YORK 008 D023701 NY 008 D033701 10022 010 A003701 PFPC INC. 010 B003701 85-11196 010 C013701 WILMINGTON 010 C023701 DE 010 C033701 19809 PAGE 84 013 A003701 PRICEWATERHOUSECOOPERS LLC 013 B013701 PHILADELPHIA 013 B023701 PA 013 B033701 19103 014 A003701 ROBECO USA BROKERAGE SERVICES 014 B003701 8-15648 015 A003701 BOSTON SAFE DEPOSIT & TRUST CO 015 B003701 C 015 C013701 BOSTON 015 C023701 MA 015 C033701 02109 015 E013701 X 015 A003702 EUROCLEAR BANK S.A. 015 B003702 S 015 C013702 BRUSSELS 015 D013702 BELGIUM 015 D023702 B-1210 015 E043702 X 015 A003703 ABN AMRO BANK N.A. 015 B003703 S 015 C013703 NEW YORK 015 C023703 NY 015 C033703 10055 015 E043703 X 015 A003704 CANADIAN IMPERIAL BANK OF COMMERCE 015 B003704 S 015 C013704 TORONTO 015 D013704 CANADA 015 D023704 MSL1G9 015 E043704 X 025 D003701 0 025 D003702 0 025 D003703 0 025 D003704 0 025 D003705 0 025 D003706 0 025 D003707 0 025 D003708 0 028 A013700 4 028 A023700 0 028 A033700 0 028 A043700 339 028 B013700 4 028 B023700 0 028 B033700 0 028 B043700 182 028 C013700 101 028 C023700 0 028 C033700 0 028 C043700 435 028 D013700 8 PAGE 85 028 D023700 0 028 D033700 0 028 D043700 171 028 E013700 2 028 E023700 0 028 E033700 0 028 E043700 215 028 F013700 5 028 F023700 0 028 F033700 0 028 F043700 51 028 G013700 124 028 G023700 0 028 G033700 0 028 G043700 1393 028 H003700 0 029 003700 N 030 A003700 0 030 B003700 0.00 030 C003700 0.00 031 A003700 0 031 B003700 0 032 003700 0 033 003700 0 037 003700 N 038 003700 0 039 003700 Y 040 003700 Y 041 003700 Y 042 A003700 0 042 B003700 0 042 C003700 0 042 D003700 0 042 E003700 0 042 F003700 0 042 G003700 0 042 H003700 0 043 003700 0 044 003700 0 045 003700 Y 046 003700 N 047 003700 Y 048 003700 0.750 048 A013700 0 048 A023700 0.000 048 B013700 0 048 B023700 0.000 048 C013700 0 048 C023700 0.000 048 D013700 0 048 D023700 0.000 PAGE 86 048 E013700 0 048 E023700 0.000 048 F013700 0 048 F023700 0.000 048 G013700 0 048 G023700 0.000 048 H013700 0 048 H023700 0.000 048 I013700 0 048 I023700 0.000 048 J013700 0 048 J023700 0.000 048 K013700 0 048 K023700 0.000 049 003700 N 050 003700 N 051 003700 N 052 003700 N 053 A003700 Y 053 B003700 N 053 C003700 N 054 A003700 Y 054 B003700 N 054 C003700 N 054 D003700 N 054 E003700 N 054 F003700 N 054 G003700 N 054 H003700 N 054 I003700 N 054 J003700 N 054 K003700 N 054 L003700 N 054 M003700 Y 054 N003700 N 054 O003700 Y 055 A003700 N 055 B003700 N 056 003700 Y 057 003700 N 058 A003700 N 059 003700 Y 060 A003700 Y 060 B003700 Y 061 003700 2500 062 A003700 N 062 B003700 0.0 062 C003700 0.0 062 D003700 0.0 062 E003700 0.0 062 F003700 0.0 PAGE 87 062 G003700 0.0 062 H003700 0.0 062 I003700 0.0 062 J003700 0.0 062 K003700 0.0 062 L003700 0.0 062 M003700 0.0 062 N003700 0.0 062 O003700 0.0 062 P003700 0.0 062 Q003700 0.0 062 R003700 0.0 063 A003700 0 063 B003700 0.0 066 A003700 Y 066 B003700 N 066 C003700 N 066 D003700 Y 066 E003700 N 066 F003700 N 066 G003700 N 067 003700 N 068 A003700 N 068 B003700 N 069 003700 N 070 A013700 Y 070 A023700 N 070 B013700 Y 070 B023700 N 070 C013700 N 070 C023700 N 070 D013700 Y 070 D023700 N 070 E013700 N 070 E023700 N 070 F013700 Y 070 F023700 N 070 G013700 Y 070 G023700 N 070 H013700 Y 070 H023700 N 070 I013700 N 070 I023700 N 070 J013700 Y 070 J023700 N 070 K013700 Y 070 K023700 Y 070 L013700 Y 070 L023700 N 070 M013700 Y 070 M023700 N PAGE 88 070 N013700 Y 070 N023700 N 070 O013700 N 070 O023700 N 070 P013700 N 070 P023700 N 070 Q013700 N 070 Q023700 N 070 R013700 N 070 R023700 N 071 A003700 18707 071 B003700 21619 071 C003700 19944 071 D003700 94 072 A003700 12 072 B003700 0 072 C003700 268 072 D003700 0 072 E003700 0 072 F003700 150 072 G003700 76 072 H003700 0 072 I003700 67 072 J003700 9 072 K003700 0 072 L003700 4 072 M003700 14 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10022 010 A003801 PFPC INC. 010 B003801 85-11196 010 C013801 WILMINGTON 010 C023801 DE 010 C033801 19809 013 A003801 PRICEWATERHOUSECOOPERS LLP 013 B013801 PHILADELPHIA 013 B023801 PA 013 B033801 19103 014 A003801 ROBECO USA BROKERAGE SERVICES 014 B003801 8-15648 015 A003801 BOSTON SAFE DEPOSIT & TRUST CO. PAGE 90 015 B003801 C 015 C013801 BOSTON 015 C023801 MA 015 C033801 02109 015 E013801 X 025 D003801 0 025 D003802 0 025 D003803 0 025 D003804 0 025 D003805 0 025 D003806 0 025 D003807 0 025 D003808 0 028 A013800 578 028 A023800 0 028 A033800 0 028 A043800 3262 028 B013800 2990 028 B023800 551 028 B033800 0 028 B043800 2665 028 C013800 1650 028 C023800 496 028 C033800 0 028 C043800 782 028 D013800 2683 028 D023800 631 028 D033800 0 028 D043800 2399 028 E013800 19841 028 E023800 561 028 E033800 0 028 E043800 2781 028 F013800 964 028 F023800 1299 028 F033800 0 028 F043800 904 028 G013800 28706 028 G023800 3538 028 G033800 0 028 G043800 12793 028 H003800 0 029 003800 N 030 A003800 0 030 B003800 0.00 030 C003800 0.00 031 A003800 0 031 B003800 0 032 003800 0 033 003800 0 037 003800 Y PAGE 91 038 003800 4 039 003800 N 040 003800 Y 041 003800 Y 042 A003800 0 042 B003800 0 042 C003800 0 042 D003800 0 042 E003800 0 042 F003800 0 042 G003800 0 042 H003800 0 043 003800 0 044 003800 0 045 003800 Y 046 003800 N 047 003800 Y 048 003800 0.450 048 A013800 0 048 A023800 0.000 048 B013800 0 048 B023800 0.000 048 C013800 0 048 C023800 0.000 048 D013800 0 048 D023800 0.000 048 E013800 0 048 E023800 0.000 048 F013800 0 048 F023800 0.000 048 G013800 0 048 G023800 0.000 048 H013800 0 048 H023800 0.000 048 I013800 0 048 I023800 0.000 048 J013800 0 048 J023800 0.000 048 K013800 0 048 K023800 0.000 049 003800 N 050 003800 N 051 003800 N 052 003800 N 053 A003800 Y 053 B003800 Y 053 C003800 N 054 A003800 Y 054 B003800 N 054 C003800 N 054 D003800 N PAGE 92 054 E003800 N 054 F003800 N 054 G003800 N 054 H003800 N 054 I003800 N 054 J003800 N 054 K003800 N 054 L003800 N 054 M003800 Y 054 N003800 N 054 O003800 Y 055 A003800 Y 055 B003800 N 056 003800 Y 057 003800 N 058 A003800 N 059 003800 Y 060 A003800 Y 060 B003800 Y 061 003800 250000 062 A003800 Y 062 B003800 0.0 062 C003800 10.7 062 D003800 0.0 062 E003800 0.0 062 F003800 0.0 062 G003800 0.0 062 H003800 0.0 062 I003800 0.0 062 J003800 0.0 062 K003800 0.0 062 L003800 3.9 062 M003800 25.2 062 N003800 34.2 062 O003800 0.0 062 P003800 18.9 062 Q003800 31.1 062 R003800 0.0 063 A003800 0 063 B003800 14.0 064 A003800 N 064 B003800 N 066 A003800 N 067 003800 N 068 A003800 N 068 B003800 N 069 003800 N 070 A013800 Y 070 A023800 N 070 B013800 N 070 B023800 N PAGE 93 070 C013800 Y 070 C023800 N 070 D013800 N 070 D023800 N 070 E013800 Y 070 E023800 N 070 F013800 N 070 F023800 N 070 G013800 Y 070 G023800 N 070 H013800 N 070 H023800 N 070 I013800 N 070 I023800 N 070 J013800 Y 070 J023800 Y 070 K013800 Y 070 K023800 Y 070 L013800 Y 070 L023800 N 070 M013800 N 070 M023800 N 070 N013800 Y 070 N023800 Y 070 O013800 N 070 O023800 N 070 P013800 N 070 P023800 N 070 Q013800 N 070 Q023800 N 070 R013800 N 070 R023800 N 071 A003800 565010 071 B003800 519120 071 C003800 175622 071 D003800 296 072 A003800 12 072 B003800 7575 072 C003800 0 072 D003800 0 072 E003800 25 072 F003800 724 072 G003800 230 072 H003800 0 072 I003800 101 072 J003800 33 072 K003800 0 072 L003800 41 072 M003800 31 072 N003800 41 072 O003800 0 PAGE 94 072 P003800 0 072 Q003800 0 072 R003800 29 072 S003800 26 072 T003800 2 072 U003800 0 072 V003800 0 072 W003800 20 072 X003800 1278 072 Y003800 586 072 Z003800 6908 072AA003800 0 072BB003800 4368 072CC013800 0 072CC023800 438 072DD013800 6922 072DD023800 1 072EE003800 0 073 A013800 0.4500 073 A023800 0.2800 073 B003800 0.0000 073 C003800 0.0000 074 A003800 0 074 B003800 0 074 C003800 19021 074 D003800 195298 074 E003800 0 074 F003800 0 074 G003800 0 074 H003800 0 074 I003800 6999 074 J003800 3677 074 K003800 0 074 L003800 1251 074 M003800 41 074 N003800 226287 074 O003800 47647 074 P003800 2 074 Q003800 0 074 R013800 0 074 R023800 0 074 R033800 0 074 R043800 107 074 S003800 0 074 T003800 178531 074 U013800 16998 074 U023800 4 074 V013800 10.50 074 V023800 10.50 074 W003800 0.0000 074 X003800 164 PAGE 95 074 Y003800 0 075 A003800 0 075 B003800 159435 076 003800 0.00 008 A003901 HILLIARD LYONS RESEARCH ADVISORS 008 B003901 A 008 C003901 801-23120 008 D013901 LOUISVILLE 008 D023901 KY 008 D033901 40202 010 A003901 PFPC INC. 010 B003901 85-111196 010 C013901 WILMINGTON 010 C023901 DE 010 C033901 19809 013 A003901 DELOITTE & TOUCHE LLP 013 B013901 PHILADELPHIA 013 B023901 PA 013 B033901 19103 015 A003901 PFPC TRUST COMPANY 015 B003901 C 015 C013901 PHILADELPHIA 015 C023901 PA 015 C033901 19153 015 E013901 X 025 D003901 0 025 D003902 0 025 D003903 0 025 D003904 0 025 D003905 0 025 D003906 0 025 D003907 0 025 D003908 0 028 A013900 1243 028 A023900 0 028 A033900 0 028 A043900 6516 028 B013900 885 028 B023900 0 028 B033900 0 028 B043900 4328 028 C013900 1048 028 C023900 0 028 C033900 0 028 C043900 4413 028 D013900 611 028 D023900 0 028 D033900 0 028 D043900 5658 028 E013900 451 028 E023900 0 PAGE 96 028 E033900 0 028 E043900 4708 028 F013900 638 028 F023900 0 028 F033900 0 028 F043900 6503 028 G013900 4876 028 G023900 0 028 G033900 0 028 G043900 32126 028 H003900 4876 029 003900 Y 030 A003900 101 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N 055 B003900 N 056 003900 Y 057 003900 N 058 A003900 N 059 003900 Y 060 A003900 N 060 B003900 N 061 003900 250 062 A003900 N 062 B003900 0.0 062 C003900 0.0 062 D003900 0.0 062 E003900 0.0 062 F003900 0.0 062 G003900 0.0 062 H003900 0.0 062 I003900 0.0 062 J003900 0.0 062 K003900 0.0 062 L003900 0.0 062 M003900 0.0 PAGE 98 062 N003900 0.0 062 O003900 0.0 062 P003900 0.0 062 Q003900 0.0 062 R003900 0.0 063 A003900 0 063 B003900 0.0 066 A003900 Y 066 B003900 N 066 C003900 Y 066 D003900 N 066 E003900 N 066 F003900 N 066 G003900 N 067 003900 N 068 A003900 N 068 B003900 N 069 003900 N 070 A013900 N 070 A023900 N 070 B013900 N 070 B023900 N 070 C013900 N 070 C023900 N 070 D013900 N 070 D023900 N 070 E013900 N 070 E023900 N 070 F013900 N 070 F023900 N 070 G013900 N 070 G023900 N 070 H013900 N 070 H023900 N 070 I013900 N 070 I023900 N 070 J013900 N 070 J023900 N 070 K013900 Y 070 K023900 N 070 L013900 N 070 L023900 N 070 M013900 N 070 M023900 N 070 N013900 N 070 N023900 N 070 O013900 N 070 O023900 N 070 P013900 N 070 P023900 N 070 Q013900 N PAGE 99 070 Q023900 N 070 R013900 N 070 R023900 N 071 A003900 14949 071 B003900 63224 071 C003900 199995 071 D003900 7 072 A003900 12 072 B003900 373 072 C003900 5700 072 D003900 0 072 E003900 0 072 F003900 1252 072 G003900 238 072 H003900 0 072 I003900 178 072 J003900 33 072 K003900 0 072 L003900 67 072 M003900 31 072 N003900 27 072 O003900 0 072 P003900 0 072 Q003900 0 072 R003900 16 072 S003900 31 072 T003900 995 072 U003900 0 072 V003900 0 072 W003900 14 072 X003900 2882 072 Y003900 0 072 Z003900 3191 072AA003900 4304 072BB003900 0 072CC013900 1529 072CC023900 0 072DD013900 1518 072DD023900 0 072EE003900 4067 073 A013900 0.1151 073 A023900 0.0000 073 B003900 0.3084 073 C003900 0.0000 074 A003900 1 074 B003900 0 074 C003900 8811 074 D003900 0 074 E003900 0 074 F003900 177601 074 G003900 0 PAGE 100 074 H003900 0 074 I003900 0 074 J003900 608 074 K003900 0 074 L003900 485 074 M003900 25 074 N003900 187531 074 O003900 0 074 P003900 274 074 Q003900 0 074 R013900 0 074 R023900 0 074 R033900 0 074 R043900 1664 074 S003900 0 074 T003900 185593 074 U013900 11200 074 U023900 0 074 V013900 16.57 074 V023900 0.00 074 W003900 0.0000 074 X003900 10461 074 Y003900 0 075 A003900 0 075 B003900 208615 076 003900 0.00 SIGNATURE JAMES G SHAW TITLE ASSISTANT TREASURER EX-99.77B ACCT LTTR 2 rbb77b1.txt REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Directors of The RBB Fund, Inc.: In planning and performing our audit of the financial statements of Money Market Portfolio and Senbanc Fund, each a series of The RBB Fund, Inc. (the "Funds"), as of and for the year ended August 31, 2006, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered their internal control over financial reporting, including control activities for safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinions on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Funds' internal control over financial reporting. Accordingly, we express no such opinion. The management of the Funds is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. Such internal control includes policies and procedures that provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of a company's assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A control deficiency exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A significant deficiency is a control deficiency, or combination of control deficiencies, that adversely affects the company's ability to initiate, authorize, record, process, or report external financial data reliably in accordance with generally accepted accounting principles such that there is more than a remote likelihood that a misstatement of the company's annual or interim financial statements that is more than inconsequential will not be prevented or detected. A material weakness is a significant deficiency, or combination of significant deficiencies, that results in more than a remote likelihood that a material misstatement of the annual or interim financial statements will not be prevented or detected. Our consideration of the Funds' internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be significant deficiencies or material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Funds' internal control over financial reporting and their operation, including controls for safeguarding securities, that we consider to be a material weakness, as defined above, as of August 31, 2006. This report is intended solely for the information and use of management and the Board of Directors of the Funds and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. DELOITTE & TOUCHE, LLP Philadelphia, Pennsylvania October 17, 2006 EX-99.77B ACCT LTTR 3 rbb77b2.txt Report of Independent Registered Public Accounting Firm To the Board of Directors and Shareholders of The RBB Fund, Inc. In planning and performing our audit of the financial statements of n/i numeric investors Emerging Growth Fund, n/i numeric investors Growth Fund, n/i numeric investors Mid Cap Fund, n/i numeric investors Small Cap Value Fund, Robeco Boston Partners Large Cap Value Fund, Robeco Boston Partners Mid Cap Value Fund, Robeco Boston Partners Small Cap Value Fund II, Robeco Boston Partners Long/Short Equity Fund, Robeco Boston Partners All-Cap Value Fund, Robeco WPG Large Cap Growth Fund, Robeco WPG Core Bond Fund, Robeco WPG Tudor Fund, Schneider Small Cap Value Fund, Schneider Value Fund, and Bogle Investment Management Small Cap Growth Fund, 15 portfolios comprising The RBB Fund, Inc. (the "Funds") as of and for the year ended August 31, 2006, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Funds' internal control over financial reporting, including control activities for safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Funds' internal control over financial reporting. Accordingly, we express no such opinion. The management of the Funds is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A fund's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. Such internal control over financial reporting includes policies and procedures that provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a fund's assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A control deficiency exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A significant deficiency is a control deficiency, or combination of control deficiencies, that adversely affects the fund's ability to initiate, authorize, record, process or report external financial data reliably in accordance with generally accepted accounting principles such that there is more than a remote likelihood that a misstatement of the fund's annual or interim financial statements that is more than inconsequential will not be prevented or detected. A material weakness is a control deficiency, or combination of control deficiencies, that results in more than a remote likelihood that a material misstatement of the annual or interim financial statements will not be prevented or detected. Our consideration of the Funds' internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control over financial reporting that might be significant deficiencies or material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Funds' internal control over financial reporting and its operation, including controls for safeguarding securities, that we consider to be material weaknesses as defined above as of August 31, 2006. This report is intended solely for the information and use of management and the Board of Directors of The RBB Fund, inc. and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. PricewaterhouseCoopers LLP Philadelphia, Pennsylvania October 26, 2006 EX-99.77C VOTES 4 rbb77c.txt Exhibit C - Matters submitted to a vote of security holders Matters submitted to a vote of security holders is incorporated by reference to the Registrant's Proxy Statement (No. 33-20827) filed on September 1, 2006. EX-99.77D POLICIES 5 rbb77d.txt Exhibit 77D - Policies with respect to security investments The Board of Directors of The RBB Fund, Inc. approved changes to the primary investment strategies and benchmark for the Robeco Boston Partners Mid Cap Value Fund and to the primary investment strategy for the Robeco Boston Partners Small Cap Value Fund II at a meeting held on May 25, 2006. The RBB Fund, Inc. incorporates herein by reference the supplement dated June 8, 2006 that was filed electronically with the SEC on June 8, 2006, (Accession No. 0000935069-06-001642). EX-99.77Q1 OTHR EXHB 6 rbb77q11.txt INTERIM INVESTMENT ADVISORY AND ADMINISTRATION AGREEMENT (Money Market Portfolio) AGREEMENT made as of September 29, 2006 between THE RBB FUND, INC., a Maryland corporation (herein called the "Company"), and BLACKROCK INSTITUTIONAL MANAGEMENT CORPORATION, a Delaware corporation (herein called the "Investment Advisor"). WHEREAS, the Company is registered as an open-end, diversified, management investment company under the Investment Company Act of 1940 (the "1940 Act") and currently offers shares representing interests in separate investment portfolios; and WHEREAS, the Investment Advisor has been providing investment advisory and administration services to the Company's Money Market Portfolio (the "Portfolio") under an Investment Advisory and Administration Agreement dated August 16, 1988, which may have terminated as of the date hereof in connection with a possible change in control involving the Investment Advisor as regards the transaction defined below, and the Investment Advisor will continue as investment adviser to the Portfolio provided the conditions of Rule 15a-4 under the 1940 Act are met; and WHEREAS, this day BlackRock, Inc. ("BRI") and Merrill Lynch & Co., Inc. ("Merrill Lynch") are merging Merrill Lynch's investment management business with a subsidiary of BRI (the "Transaction"); and WHEREAS, the Company desires to continue to retain the Investment Advisor to provide investment advisory and administration services to the Portfolio following the Transaction; and WHEREAS, the Board of Directors of the Company has approved this Agreement, and the Investment Advisor is willing to furnish such services upon the terms and conditions herein set forth; NOW, THEREFORE, in consideration of the premises and mutual covenants herein contained, and intending to be legally bound hereby, it is agreed between the parties hereto as follows: 1. Appointment. The Company hereby appoints the Investment Advisor to act as investment advisor to the Company for the Portfolio for the period and on the terms set forth in this Agreement. The Investment Advisor accepts such appointment and agrees to render the services herein set forth, for the compensation herein provided. The Company's Common Stock, $.001 par value (the "Shares") has been classified into different classes of Common Stock. The Portfolio contains two classes of Shares: the Class I Shares and the Class L Shares. 2. Delivery of Documents. The Company has furnished the Investment Advisor with copies properly certified or authenticated of each of the following: (a) Articles of Incorporation of the Company, filed with the Secretary of State of Maryland on February 29, 1988, as amended (such Articles of Incorporation, as presently in effect and as they shall from time to time be amended, herein called the "Articles of Incorporation"); (b) Articles Supplementary of the Company, filed with the Secretary of State of the State of Maryland on March 24, 1988 and all further Articles Supplementary filed with the State of Maryland ("Articles Supplementary"); (c) By-Laws of the Company, as amended (such By-Laws, as presently in effect and as they shall from time to time be amended, herein called the "By-Laws"); (d) Resolutions of the Board of Directors of the Company authorizing the appointment of the Investment Advisor and the execution and delivery of this Agreement; (e) A copy of each Distribution Agreement between the Company and the Company's principal underwriter (the "Distributor") relating to any class of Shares representing interests in the Portfolio and the form of each related Dealer Agreement, if any, for broker- dealers participating in the distribution of any class of Shares representing interests in the Portfolio ("Participating Dealers"); (f) Each Plan of Distribution pursuant to Rule 12b-1 under the 1940 Act, if any, relating to any class of Shares representing interests in the Portfolio; (g) Each Shareholder Servicing Agreement, if any, relating to any class of Shares representing interests in the Portfolio; (h) Each Non-12b-1 Shareholder Services Plan, if any, relating to any class of Shares representing interests in the Portfolio; (i) Notification of Registration of the Company under the 1940 Act on Form N-8A as filed with the Securities and Exchange Commission ("SEC") on March 24, 1988 and all amendments thereto; (j) The initial Registration Statement of the Company on Form N-lA under the Securities Act of 1933 (the "1933 Act") (File No. 33-20827) and under the 1940 Act filed with the SEC on March 24, 1988 relating to the Shares, and all amendments thereto (the "Registration Statement"); and (k) Each Prospectus relating to any class of Shares representing interests in the Portfolio in effect under the 1933 Act (such prospectuses, as presently in effect and as they shall from time to time be amended and supplemented, are herein collectively called the "Prospectuses"). The Company will furnish the Investment Advisor from time to time with copies, properly certified or authenticated, of all amendments of or supplements to the foregoing, if any. 3. Management of the Portfolio. Subject to the supervision of the Board of Directors of the Company, the Investment Advisor will provide for the overall management of the Portfolio, including (i) the provision of a continuous investment program for the Portfolio, including investment research and management with respect to all securities, investments, cash and cash equivalents in the Portfolio, (ii) the determination from time to time of what securities and other investments will be purchased, retained or sold by the Company for the Portfolio, (iii) the placement of orders for all purchases and sales made for the Portfolio, and (iv) coordination of contractual relationships and communications between the Company and its contractual service providers. The Investment Advisor will provide the services rendered by it hereunder in accordance with the investment objectives, restrictions and policies of the Portfolio as stated in the applicable Prospectus and the applicable statement of additional information contained in the Registration Statement. The Investment Advisor further agrees that it will maintain all books and records with respect to the securities transactions of the Portfolio, keep its respective books of account and will render to the Company's Board of Directors such periodic and special reports as the Board may request. 4. Brokerage. The Investment Advisor may place orders either directly with the issuer or with any broker or dealer. In placing orders with brokers and dealers, the Investment Advisor will attempt to obtain the best net price and the most favorable execution of its orders. In placing orders with such broker or dealer, the Investment Advisor will consider the experience and skill of the firm's securities traders as well as the firm's financial responsibility and administrative efficiency. Consistent with this obligation, when the execution and price offered by two or more brokers or dealers are comparable, the Investment Advisor may, in its discretion, purchase and sell the Portfolio's securities to and from brokers and dealers who provide the Company with research advice and other services. In no instance will the Portfolio's securities be purchased from or sold to the Distributor, the Investment Advisor or any affiliated person thereof, except to the extent permitted by SEC exemptive order or by applicable law. 5. Administration Services. (a) The Investment Advisor will perform the following administration and accounting functions on a daily basis: (1) Journalize the Portfolio's investment, capital share and income and expense activities; (2) Verify investment buy/sell trade tickets and transmit trades to the Company's custodian for proper settlement; (3) Maintain individual ledgers for investment securities; (4) Maintain historical tax lots for each security; (5) Reconcile cash and investment balances of the Portfolio with the custodian, and prepare the beginning cash balance available for investment purposes; (6) Update the cash availability throughout the day as required; (7) Post to and prepare the Portfolio's Statement of Assets and Liabilities and the Statement of Operations; (8) Calculate various contractual expenses (e.g., advisory/administration and custody fees); (9) Monitor the expense accruals and notify management of the Company of any proposed adjustments; (10) Control all disbursements from the Portfolio and authorize such disbursements upon Written Instructions; (11) Calculate capital gains and losses; (12) Determine the Portfolio's net income; (13) Obtain security market quotes from services approved by management of the Company, or if such quotes are unavailable, then obtain such prices from management of the Company, and in either case calculate the market value of the Portfolio's investments; (14) Compute the net asset value of the Portfolio; and (15) Compute the Portfolio's yields, total return, expense ratios, Portfolio turnover rate, and, Portfolio average dollar-weighted maturity. (b) In addition to the accounting services described in the foregoing Paragraph 5(a), the Investment Advisor will: (1) Prepare monthly financial statements, which will include the following items: Schedule of Investments Statement of Assets and Liabilities Statement of Operations Statement of Changes in Net Assets Cash Settlement Schedule of Capital Gains and Losses; (2) Prepare quarterly broker security transactions summaries; (3) Supply various normal and customary Portfolio and Company statistical data as requested on an ongoing basis; (4) Prepare for execution and file the Portfolio's and Company's Federal and state tax returns; (5) Prepare and file the Company's Semi-Annual Reports with the SEC on Form N-SAR and prepare and file the Company's Rule 24f-2 Notice and Form N-PX with the SEC; (6) Prepare and file with the SEC the Portfolio's and Company's annual, semi-annual and quarterly Shareholder reports on Form N-CSR and Form N-Q; (7) Assist with the preparation of registration statements on Form N-lA and other filings relating to the registration of Shares; (8) Monitor the Company's status as a regulated investment company under Sub-chapter M of the Internal Revenue Code of 1986, as amended; (9) Qualify the Class I Shares and the Class L Shares for sale in each state in which the Company's Board of Directors determines to sell the Class I Shares or the Class L Shares and make all filings and take all appropriate actions necessary to maintain and renew such registrations of the Class I Shares and the Class L Shares; (10) Monitor the Company's compliance with the amounts and conditions of each such state qualification; and (11) Maintain the Company's fidelity bond as required by the 1940 Act and obtain a directors and officers liability policy. (c) The Investment Advisor shall act as liaison with the Company's independent registered public accounting firm and shall provide account analyses, fiscal year summaries, and other audit related schedules. The Investment Advisor shall take all reasonable action in the performance of its obligations under this Agreement to assure that the necessary information is made available to such accountants for the expression of their opinion, as such may be required by the Company from time to time. 6. Conformity with Law; Confidentiality. The Investment Advisor further agrees that it will comply with all applicable Rules and Regulations of all Federal regulatory agencies having jurisdiction over the Investment Advisor in the performance of its duties hereunder (herein called the "Rules"). The Investment Advisor will treat confidentially and as proprietary information of the Company all records and other information relative to the Company and prior, present or potential shareholders, and will not use such records and information for any purpose other than performance of its responsibilities and duties hereunder, except after prior notification to and approval in writing by the Company, which approval shall not be unreasonably withheld and may not be withheld where the Investment Advisor may be exposed to civil or criminal contempt proceedings for failure to comply, when requested to divulge such information by duly constituted authorities, or when so requested by the Company. 7. Services Not Exclusive. The investment management and administration services rendered by the Investment Advisor hereunder are not to be deemed exclusive, and the Investment Advisor shall be free to render similar services to others so long as its services under this Agreement are not impaired thereby. 8. Books and Records. In compliance with the requirements of Rule 31a-3 of the Rules, the Investment Advisor hereby agrees that all records which it maintains for the Portfolio are the property of the Company and further agrees to surrender promptly to the Company any of such records upon the Company's request. The Investment Advisor further agrees to preserve for the periods prescribed by Rule 31a-2 the records required to be maintained by Rule 31a-1 of the Rules. 9. Expenses. During the term of this Agreement, the Investment Advisor will pay all expenses incurred by it in connection with its activities under this Agreement other than the cost of (including brokerage commissions, if any) securities purchased for the Portfolio, the cost of any independent pricing service used in valuing the Portfolio's securities and fees and expenses of registering and qualifying shares for distribution under state securities laws. In addition, if the expenses borne by the Portfolio in any fiscal year exceed the most restrictive applicable expense limitations imposed by the securities regulations of any state in which the Shares are registered or qualified for sale to the public, the Investment Advisor shall reimburse the Portfolio for any excess up to the amount of the fees payable by the Portfolio to it during such fiscal year pursuant to Paragraph 10 hereof; provided, however, that notwithstanding the foregoing, the Investment Advisor shall reimburse the Portfolio for such excess expenses regardless of the amount of such fees payable to it during such fiscal year to the extent that the securities regulations of any state in which the Shares are registered or qualified for sale so require. 10. Compensation. (a) For the services provided and the expenses assumed pursuant to this Agreement with respect to the Portfolio, the Company will pay the Investment Advisor from the assets of the Portfolio and the Investment Advisor will accept as full compensation therefor a fee, computed daily and payable monthly, at the following annual rate: 0.45% of-the first $250 million of the Portfolio's average daily net assets, 0.40% of the next $250 million of the Portfolio's average daily net assets, and 0.35% of the Portfolio's average daily net assets in excess of $500 million. (b) The fee attributable to the Portfolio shall be satisfied only against the assets of the Portfolio and not against the assets of any other investment portfolio of the Company. 11. Limitation of Liability of the Investment Advisor. The Investment Advisor shall not be liable for any error of judgment or mistake of law or for any loss suffered by the Company in connection with the matters to which this Agreement relates, except a loss resulting from a breach of fiduciary duty with respect to the receipt of compensation for services or a loss resulting from willful misfeasance, bad faith or gross negligence on the part of the Investment Advisor in the performance of its duties or from reckless disregard by it of its obligations and duties under this Agreement. 12. Duration and Termination. The term of this Agreement shall begin on the date first above written and shall terminate without penalty upon the earlier of (i) 150 days from the date hereof, (ii) 10 calendar days' written notice by the Company to the Investment Advisor, provided that the Company's Board of Directors or a Majority (as defined below) of the outstanding voting securities of the Portfolio have voted to terminate the Agreement; (iii) an event of assignment (as defined in the 1940 Act); and (iv) upon the effective date of an Investment Advisory and Administration Agreement between the Investment Advisor and the Company that has received the approval of the vote of a Majority of the Portfolio's outstanding voting securities. For purposes of the foregoing, "Majority" is defined as the lesser of (a) 67% of the shares of the Portfolio represented at a meeting if holders of more than 50% of the outstanding shares of the Portfolio are present in person or by proxy or (b) more than 50% of the outstanding shares of the Portfolio. Subject to Section 13, termination of this Agreement shall not affect the right of the Investment Advisor to receive payments on any unpaid balance of the compensation to which it is entitled under this Agreement earned prior to such termination. 13. Escrow Provisions. a) Notwithstanding any other provision of this Agreement, in no event shall compensation paid to the Investment Advisor hereunder exceed the amount permitted by Rule 15a-4 under the 1940 Act. All compensation paid to the Investment Advisor hereunder shall be held in an interest- bearing escrow account with the Portfolio's custodian (the "Escrow Account"). Funds held in the Escrow Account, including interest earned ("Escrow Money"), shall be paid to the Investment Advisor promptly after approval of an Investment Advisory and Administration Agreement between the Investment Advisor and the Company by the vote of a Majority of the Portfolio's outstanding voting securities in accordance with the 1940 Act, provided that such approval is obtained no later than 150 days after the date of this Agreement. (b) Notwithstanding any other provision of this Agreement, if an Investment Advisory and Administration Agreement between the Investment Advisor and the Company is not approved by a vote of a Majority of the Portfolio's outstanding voting securities within the time period stated above, the Investment Advisor shall receive from the Escrow Account as full compensation for its services hereunder the lesser of: (x) any costs incurred by the Investment Advisor in performing this Agreement plus any interest earned on that amount while in escrow, or (y) the total amount in the Escrow Account plus interest if earned. 14. Delegation. On thirty (30) days prior written notice to the Portfolio, the Investment Advisor may delegate those of its duties set forth in Paragraph 5 hereof to any wholly-owned direct or indirect subsidiary of The PNC Financial Services Group, Inc. provided that (i) the delegate agrees with the Investment Advisor to comply with all relevant provisions of the 1940 Act; and (ii) the Investment Advisor and such delegate shall promptly provide such information as the Portfolio may request, and respond to such questions as the Portfolio may ask, relative to the delegation, including (without limitation) the capabilities of the delegate. Any delegation under this paragraph shall not be deemed an assignment for purposes of paragraph 12 hereof. Notwithstanding any such delegation, the Investment Advisor shall remain responsible for the performance of its duties set forth in Paragraph 5 hereof and shall hold the Portfolio harmless from the acts and omissions, under the standards of care provided for herein, of any delegate chosen pursuant to this Paragraph 14. 15. Amendment of this Agreement. No provision of this Agreement may be changed, discharged or terminated orally, except by an instrument in writing signed by the party against which enforcement of the change, discharge or termination is sought, and no amendment of this Agreement affecting the Portfolio shall be effective until approved by vote of the holders of a majority of the outstanding voting securities of the Portfolio. 16. Miscellaneous. The captions in this Agreement are included for convenience of reference only and in no way define or delimit any of the provisions hereof or otherwise affect their construction or effect. If any provision of this Agreement shall be held or made invalid by a court decision, statute, rule or otherwise, the remainder of this Agreement shall not be affected thereby. This Agreement shall be binding upon and shall inure to the benefit of the parties hereto and their respective successors and shall be governed by Delaware law. IN WITNESS WHEREOF, the parties hereto have caused this instrument to be executed by their officers designated below as of the day and year first above written. THE RBB FUND, INC. By: /s/ Edward J. Roach Title: President BLACKROCK INSTITUTIONAL MANAGEMENT CORPORATION By: /s/ Paul Audet Title: EX-99.77Q1 OTHR EXHB 7 rbb77q12.txt INVESTMENT ADVISORY AND ADMINISTRATION AGREEMENT (Money Market Portfolio) AGREEMENT made as of ___________ , 2006 between THE RBB FUND, INC., a Maryland corporation (herein called the "Company"), and BLACKROCK INSTITUTIONAL MANAGEMENT CORPORATION, a Delaware corporation (herein called the "Investment Advisor"). WHEREAS, the Company is registered as an open-end, diversified, management investment company under the Investment Company Act of 1940 (the "1940 Act") and currently offers shares representing interests in seventeen separate investment portfolios; and WHEREAS, the Company desires to retain the Investment Advisor to render investment advisory and administration services with respect to the Company's Money Market Portfolio (the "Portfolio"), and the Investment Advisor is willing to so render such services, NOW, THEREFORE, in consideration of the premises and mutual covenants herein contained, and intending to be legally bound hereby, it is agreed between the parties hereto as follows: 1. Appointment. The Company hereby appoints the Investment Advisor to act as investment advisor to the Company for the Portfolio for the period and on the terms set forth in this Agreement. The Investment Advisor accepts such appointment and agrees to render the services herein set forth, for the compensation herein provided. The Company's Common Stock, $.001 par value (the "Shares") has been classified into one hundred and four different classes of Common Stock. The Portfolio contains two classes of Shares: the Class I Shares and the Class L Shares. 2. Delivery of Documents. The Company has furnished the Investment Advisor with copies properly certified or authenticated of each of the following: (a) Articles of Incorporation of the Company, filed with the Secretary of State of Maryland on February 29, 1988, as amended (such Articles of Incorporation, as presently in effect and as they shall from time to time be amended, herein called the "Articles of Incorporation"); (b) Articles Supplementary of the Company, filed with the Secretary of State of the State of Maryland on March 24, 1988 and all further Articles of Supplementary filed with the State of Maryland ("Articles Supplementary"); (c) By-Laws of the Company, as amended (such By-Laws, as presently in effect and as they shall from time to time be amended, herein called the "By-Laws"); (d) Resolutions of the Board of Directors of the Company authorizing the appointment of the Investment Advisor and the execution and delivery of this Agreement; (e) A copy of each Distribution Agreement between the Company and the Company's principal underwriter (the "Distributor") relating to any class of Shares representing interests in the Portfolio and the form of each related Dealer Agreement, if any, for broker- dealers participating in the distribution of any class of Shares representing interests in the Portfolio ("Participating Dealers"); (f) Each Plan of Distribution pursuant to Rule 12b- 1 under the 1940 Act, if any, relating to any class of Shares representing interests in the Portfolio; (g) Each Shareholder Servicing Agreement, if any, relating to any class of Shares representing interests in the Portfolio; (h) Each Non-12b-1 Shareholder Services Plan, if any, relating to any class of Shares representing interests in the Portfolio; (i) Notification of Registration of the Company under the 1940 Act on Form N-8A as filed with the Securities and Exchange Commission ("SEC") on March 24, 1988 and all amendments thereto; (j) The initial Registration Statement of the Company on Form N-lA under the Securities Act of 1933 (the "1933 Act") (File No. 33-20827) and under the 1940 Act filed with the SEC on March 24, 1988 relating to the Shares, and all amendments thereto (the "Registration Statement"); and (k) Each Prospectus relating to any class of Shares representing interests in the Portfolio in effect under the 1933 Act (such prospectuses, as presently in effect and as they shall from time to time be amended and supplemented, are herein collectively called the "Prospectuses"). The Company will furnish the Investment Advisor from time to time with copies, properly certified or authenticated, of all amendments of or supplements to the foregoing, if any. 3. Management of the Portfolio. Subject to the supervision of the Board of Directors of the Company, the Investment Advisor will provide for the overall management of the Portfolio, including (i) the provision of a continuous investment program for the Portfolio, including investment research and management with respect to all securities, investments, cash and cash equivalents in the Portfolio, (ii) the determination from time to time of what securities and other investments will be purchased, retained or sold by the Company for the Portfolio, (iii) the placement of orders for all purchases and sales made for the Portfolio, and (iv) coordination of contractual relationships and communications between the Company and its contractual service providers. The Investment Advisor will provide the services rendered by it hereunder in accordance with the investment objectives, restrictions and policies of the Portfolio as stated in the applicable Prospectus and the applicable statement of additional information contained in the Registration Statement. The Investment Advisor further agrees that it will maintain all books and records with respect to the securities transactions of the Portfolio, keep its respective books of account and will render to the Company's Board of Directors such periodic and special reports as the Board may request. To the extent permitted by applicable law and subject to approval by the Company's Board of Directors but not the approval by a vote of the outstanding voting securities of the Portfolio, the Investment Advisor may from time to time, enter into contracts with one or more sub-advisors, including without limitation, affiliates of the Investment Advisor, to perform investment sub-advisory services with respect to the Portfolio. In addition, to the extent permitted by applicable law, the Investment Advisor may reallocate all or a portion of its investment advisory responsibilities under this Agreement to any of its affiliates. The Investment Advisor shall supervise and oversee the activities of each sub-advisor under its sub- advisory contract on behalf of the Portfolio. Subject to approval by the Company's Board of Directors, the Investment Advisor may terminate any or all sub-advisors in its sole discretion at any time to the extent permitted by applicable law. 4. Brokerage. The Investment Advisor may place orders either directly with the issuer or with any broker or dealer. In placing orders with brokers and dealers, the Investment Advisor will attempt to obtain the best net price and the most favorable execution of its orders. In placing orders with such broker or dealer, the Investment Advisor will consider the experience and skill of the firm's securities traders as well as the firm's financial responsibility and administrative efficiency. Consistent with this obligation, when the execution and price offered by two or more brokers or dealers are comparable, the Investment Advisor may, in its discretion, purchase and sell the Portfolio's securities to and from brokers and dealers who provide the Company with research advice and other services. In no instance will the Portfolio's securities be purchased from or sold to the Distributor, the Investment Advisor or any affiliated person thereof, except to the extent permitted by SEC exemptive order or by applicable law. 5. Administration Services. (a) The Investment Advisor will perform the following administration and accounting functions on a daily basis: (1) Journalize the Portfolio's investment, capital share and income and expense activities; (2) Verify investment buy/sell trade tickets and transmit trades to the Company's custodian for proper settlement; (3) Maintain individual ledgers for investment securities; (4) Maintain historical tax lots for each security; (5) Reconcile cash and investment balances of the Portfolio with the custodian, and prepare the beginning cash balance available for investment purposes; (6) Update the cash availability throughout the day as required; (7) Post to and prepare the Portfolio's Statement of Assets and Liabilities and the Statement of Operations; (8) Calculate various contractual expenses (e.g., advisory/administration and custody fees); (9) Monitor the expense accruals and notify management of the Company of any proposed adjustments; (10) Control all disbursements from the Portfolio and authorize such disbursements upon Written Instructions; (11) Calculate capital gains and losses; (12) Determine net income; (13) Obtain security market quotes from independent pricing services approved by management of the Company, or if such quotes are unavailable, then obtain such prices from management of the Company, and in either case calculate the market value of the Portfolio's investments; (14) Compute the net asset value of the Portfolio; and (15) Compute the Portfolio's yields, total return, expense ratios, Portfolio turnover rate, and, Portfolio average dollar-weighted maturity. (b) In addition to the accounting services described in the foregoing Paragraph 5(a), the Investment Advisor will: (1) Provide general ledger and Portfolio holdings upon request; (2) Prepare quarterly broker security transactions summaries; (3) Supply various normal and customary Portfolio and Company statistical data as requested on an ongoing basis; (4) Prepare for execution and file the Portfolio's and Company's Federal and state tax returns; (5) Prepare and file the Company's Semi-Annual Reports with the SEC on Form N-SAR and prepare and file the Company's Rule 24f-2 Notice and Form N-PX with the SEC; (6) Prepare and file with the SEC the Portfolio's and Company's annual, semi-annual and quarterly Shareholder reports on Form N-CSR and Form N-Q; (7) Assist with the preparation of registration statements on Form N-lA and other filings relating to the registration of Shares; (8) Monitor the Company's status as a regulated investment company under Sub- chapter M of the Internal Revenue Code of 1986, as amended; (9) Qualify the Class I Shares and the Class L Shares for sale in each state in which the Company's Board of Directors determines to sell the Class I Shares or the Class L Shares and make all filings and take all appropriate actions necessary to maintain and renew such registrations of the Class I Shares and the Class L Shares; (10) Monitor the Company's compliance with the amounts and conditions of each such state qualification; and (11) Maintain the Company's fidelity bond as required by the 1940 Act and obtain a directors and officers liability policy. (c) The Investment Advisor shall act as liaison with the Company's independent registered public accounting firm and shall provide account analyses, fiscal year summaries, and other audit related schedules. The Investment Advisor shall take all reasonable action in the performance of its obligations under this Agreement to assure that the necessary information is made available to such firm for the expression of its opinion, as such may be required by the Company from time to time. 6. Conformity with Law; Confidentiality. The Investment Advisor further agrees that it will comply with all applicable Rules and Regulations of all Federal regulatory agencies having jurisdiction over the Investment Advisor in the performance of its duties hereunder (herein called the "Rules"). The Investment Advisor will treat confidentially and as proprietary information of the Company all records and other information relative to the Company and prior, present or potential shareholders, and will not use such records and information for any purpose other than performance of its responsibilities and duties hereunder, except after prior notification to and approval in writing by the Company, which approval shall not be unreasonably withheld and may not be withheld where the Investment Advisor may be exposed to civil or criminal contempt proceedings for failure to comply, when requested to divulge such information by duly constituted authorities, or when so requested by the Company. 7. Services Not Exclusive. The investment management and administration services rendered by the Investment Advisor hereunder are not to be deemed exclusive, and the Investment Advisor shall be free to render similar services to others so long as its services under this Agreement are not impaired thereby. 8. Books and Records. In compliance with the requirements of Rule 31a-3 of the 1940 Act, the Investment Advisor hereby agrees that all records which it maintains for the Portfolio are the property of the Company and further agrees to surrender promptly to the Company any of such records upon the Company's request. The Investment Advisor further agrees to preserve for the periods prescribed by Rule 31a-2 the records required to be maintained by Rule 31a-1 of the Rules. 9. Expenses. During the term of this Agreement, the Investment Advisor will pay all expenses incurred by it in connection with its activities under this Agreement other than the cost of (including brokerage commissions, if any) securities purchased for the Portfolio, the cost of any independent pricing service used in valuing the Portfolio's securities and fees and expenses of registering and qualifying shares for distribution under state securities laws. In addition, if the expenses borne by the Portfolio in any fiscal year exceed the most restrictive applicable expense limitations imposed by the securities regulations of any state in which the Shares are registered or qualified for sale to the public, the Investment Advisor shall reimburse the Portfolio for any excess up to the amount of the fees payable by the Portfolio to it during such fiscal year pursuant to Paragraph 10 hereof; provided, however, that notwithstanding the foregoing, the Investment Advisor shall reimburse the Portfolio for such excess expenses regardless of the amount of such fees payable to it during such fiscal year to the extent that the securities regulations of any state in which the Shares are registered or qualified for sale so require. 10. Compensation. (a) For the services provided and the expenses assumed pursuant to this Agreement with respect to the Portfolio, the Company will pay the Investment Advisor from the assets of the Portfolio and the Investment Advisor will accept as full compensation therefor a fee, computed daily and payable monthly, at the following annual rate: 0.45% of-the first $250 million of the Portfolio's average daily net assets, 0.40% of the next $250 million of the Portfolio's average daily net assets, and 0.35% of the Portfolio's average daily net assets in excess of $500 million. (b) The fee attributable to the Portfolio shall be satisfied only against the assets of the Portfolio and not against the assets of any other investment portfolio of the Company. 11. Limitation of Liability of the Investment Advisor. The Investment Advisor shall not be liable for any error of judgment or mistake of law or for any loss suffered by the Company in connection with the matters to which this Agreement relates, except a loss resulting from a breach of fiduciary duty with respect to the receipt of compensation for services or a loss resulting from willful misfeasance, bad faith or gross negligence on the part of the Investment Advisor in the performance of its duties or from reckless disregard by it of its obligations and duties under this Agreement. Notwithstanding the foregoing, the Investment Advisor shall be liable to the Company for the acts and omissions of the Sub-Advisor to the extent that the Sub-Advisor is liable to the Investment Advisor for such acts or omissions under the Sub-Advisory Agreement between the Investment Advisor and the Sub-Advisor. 12. Duration and Termination. This Agreement shall become effective with respect to the Portfolio upon approval of this Agreement by vote of a majority of the outstanding voting securities of the Portfolio and, unless sooner terminated as provided herein, shall continue with respect to the Portfolio until August 16, 2007. Thereafter, if not terminated, this Agreement shall continue with respect to the Portfolio for successive annual periods ending on August 16th, provided such continuance is specifically approved at least annually (a) by the vote of a majority of those members of the Board of Directors of the Company who are not parties to this Agreement or interested persons of any such party, cast in person at a meeting called for the purpose of voting on such approval, and (b) by the Board of Directors of the Company or by vote of a majority of the outstanding voting securities of the Portfolio; provided, however, that this Agreement may be terminated with respect to the Portfolio by the Company at any time, without the payment of any penalty, by the Board of Directors of the Company or by vote of a majority of the outstanding voting securities of the Portfolio, on 60 days' written notice to the Investment Advisor, or by the Investment Advisor at any time, without payment of any penalty, on 90 days' written notice to the Company. This Agreement will immediately terminate in the event of its assignment. (As used in this Agreement, the terms "majority of the outstanding voting securities," "interested person" and "assignment" shall have the same meaning as such terms have in the 1940 Act.) 13. Delegation. On thirty (30) days prior written notice to the Portfolio, the Investment Advisor may delegate those of its duties set forth in Paragraph 5 hereof to any wholly-owned direct or indirect subsidiary of The PNC Financial Services Group, Inc. provided that (i) the delegate agrees with the Investment Advisor to comply with all relevant provisions of the 1940 Act; and (ii) the Investment Advisor and such delegate shall promptly provide such information as the Portfolio may request, and respond to such questions as the Portfolio may ask, relative to the delegation, including (without limitation) the capabilities of the delegate. Any delegation under this Paragraph shall not be deemed an assignment for purposes of paragraph 12 hereof. Notwithstanding any such delegation, the Investment Advisor shall remain responsible for the performance of its duties set forth in Paragraph 5 hereof and shall hold the Portfolio harmless from the acts and omissions, under the standards of care provided for herein, of any delegate chosen pursuant to this Paragraph 13. 14. Amendment of this Agreement. No provision of this Agreement may be changed, discharged or terminated orally, except by an instrument in writing signed by the party against which enforcement of the change, discharge or termination is sought, and no amendment of this Agreement affecting the Portfolio shall be effective until approved by vote of the holders of a majority of the outstanding voting securities of the Portfolio. 15. Miscellaneous. The captions in this Agreement are included for convenience of reference only and in no way define or delimit any of the provisions hereof or otherwise affect their construction or effect. If any provision of this Agreement shall be held or made invalid by a court decision, statute, rule or otherwise, the remainder of this Agreement shall not be affected thereby. This Agreement shall be binding upon and shall inure to the benefit of the parties hereto and their respective successors and shall be governed by Delaware law. IN WITNESS WHEREOF, the parties hereto have caused this instrument to be executed by their officers designated below as of the day and year first above written. THE RBB FUND, INC. By: ________________________________________ President BLACKROCK INSTITUTIONAL MANAGEMENT CORPORATION By: ________________________________________ President 1 EX-99.77Q1 OTHR EXHB 8 rbb77q13.txt Exhibit (d)(31) FORM OF INVESTMENT ADVISORY AGREEMENT AGREEMENT made as of [__________], 2006, between THE RBB FUND, INC., a Maryland corporation (herein called the "Fund"), and BEAR STEARNS ASSET MANAGEMENT INC. (herein called the "Investment Adviser"). WHEREAS, the Fund is registered as an open-end management investment company under the Investment Company Act of 1940 (the "1940 Act"), and currently offers or proposes to offer shares representing interests in separate investment portfolios; WHEREAS, the Fund desires to retain the Investment Adviser to render certain investment advisory services to the Fund with respect to the Fund's Bear Stearns Fund (the "Portfolio"), and the Investment Adviser is willing to so render such services; and WHEREAS, the Board of Directors of the Fund have approved this Agreement, and the Adviser is willing to furnish such services upon the terms and conditions herein set forth; NOW, THEREFORE, in consideration of the premises and mutual covenants herein contained, and intending to be legally bound hereby, it is agreed between the parties hereto as follows: SECTION 1. APPOINTMENT. The Fund hereby appoints the Investment Adviser to act as investment adviser for the Portfolio for the period and on the terms set forth in this Agreement. The Investment Adviser accepts such appointment and agrees to render the services herein set forth for the compensation herein provided. SECTION 2. DELIVERY OF DOCUMENTS. The Fund has furnished the Investment Adviser with copies properly certified or authenticated of each of the following: (a) Resolutions of the Board of Directors of the Fund authorizing the appointment of the Investment Adviser and the execution and delivery of this Agreement; (b) Each prospectus and statement of additional information relating to any class of Shares representing interests in the Portfolio of the Fund in effect under the Securities Act of 1933 (such prospectus and statement of additional information, as presently in effect and as they shall from time to time be amended and supplemented, are herein collectively called the "Prospectus" and "Statement of Additional Information," respectively). The Fund will promptly furnish the Investment Adviser from time to time with copies, properly certified or authenticated, of all amendments of or supplements to the foregoing, if any. In addition to the foregoing, the Fund will also provide the Investment Adviser with copies of the Fund's Charter and By-laws, and any registration statement or service contracts related to the Portfolio, and will promptly furnish the Investment Adviser with any amendments of or supplements to such documents. SECTION 3. MANAGEMENT. Subject to the supervision of the Board of Directors of the Fund, the Investment Adviser will provide for the overall management of the Portfolio including (i) the provision of a continuous investment program for the Portfolio, including investment research and management with respect to all securities, investments, cash and cash equivalents in the Portfolio, (ii) the determination from time to time of what securities and other investments will be purchased, retained, or sold by the Fund for the Portfolio, and (iii) the placement from time to time of orders for all purchases and sales made for the Portfolio. The Investment Adviser will provide the services rendered by it hereunder in accordance with the Portfolio's investment objectives, restrictions and policies as stated in the applicable Prospectus and Statement of Additional Information, provided that the Investment Adviser has actual notice or knowledge of any changes by the Board of Directors to such investment objectives, restrictions or policies. The Investment Adviser further agrees that it will render to the Fund's Board of Directors such periodic and special reports regarding the performance of its duties under this Agreement as the Board may reasonably request. The Investment Adviser agrees to provide to the Fund (or its agents and service providers) prompt and accurate data with respect to the Portfolio's transactions and, where not otherwise available, the daily valuation of securities in the Portfolio. SECTION 4. BROKERAGE. Subject to the Investment Adviser's obligation to obtain best price and execution, the Investment Adviser shall have full discretion to select brokers or dealers to effect the purchase and sale of securities. When the Investment Adviser places orders for the purchase or sale of securities for the Portfolio, in selecting brokers or dealers to execute such orders, the Investment Adviser is expressly authorized to consider the fact that a broker or dealer has furnished statistical, research or other information or services for the benefit of the Portfolio directly or indirectly. Without limiting the generality of the foregoing, the Investment Adviser is authorized to cause the Portfolio to pay brokerage commissions which may be in excess of the lowest rates available to brokers who execute transactions for the Portfolio or who otherwise provide brokerage and research services utilized by the Investment Adviser, provided that the Investment Adviser determines in good faith that the amount of each such commission paid to a broker is reasonable in relation to the value of the brokerage and research services provided by such broker viewed in terms of either the particular transaction to which the commission relates or the Investment Adviser's overall responsibilities with respect to accounts as to which the Investment Adviser exercises investment discretion. The Investment Adviser may aggregate securities orders so long as the Investment Adviser adheres to a policy of allocating investment opportunities to the Portfolio over a period of time on a fair and equitable basis relative to other clients. In no instance will the Portfolio's securities be purchased from or sold to the Fund's principal underwriter, the Investment Adviser, or any affiliated person thereof, except to the extent permitted by SEC exemptive order or by applicable law. The Investment Adviser shall report to the Board of Directors of the Fund at least quarterly with respect to brokerage transactions that were entered into by the Investment Adviser, pursuant to the foregoing paragraph, and shall certify to the Board that the commissions paid were reasonable in terms either of that transaction or the overall responsibilities of the Investment Adviser to the Fund and the Investment Adviser's other clients, that the total commissions paid by the Fund were reasonable in relation to the benefits to the Fund over the long term, and that such commissions were paid in compliance with Section 28(e) of the Securities Exchange Act of 1934. SECTION 5. CONFORMITY WITH LAW; CONFIDENTIALITY. The Investment Adviser further agrees that it will comply with all applicable rules and regulations of all federal regulatory agencies having jurisdiction over the Investment Adviser in the performance of its duties hereunder. The Investment Adviser will treat confidentially and as proprietary information of the Fund all records and other information relating to the Fund and will not use such records and information for any purpose other than performance of its responsibilities and duties hereunder, except after prior notification to and approval in writing by the Fund, which approval shall not be unreasonably withheld and may not be withheld where the Investment Adviser may be exposed to civil or criminal contempt proceedings for failure to comply, when requested to divulge such information by duly constituted authorities, or when so requested by the Fund. Where the Investment Adviser maybe exposed to civil or criminal contempt proceedings for failure to comply with a request for records or other information relating to the Fund, the Investment Adviser may comply with such request prior to obtaining the Fund's written approval, provided that the Investment Adviser has taken reasonable steps to promptly notify the Fund, in writing, upon receipt of the request. SECTION 6. SERVICES NOT EXCLUSIVE. The Investment Adviser and its officers may act and continue to act as investment managers for others, and nothing in this Agreement shall in any way be deemed to restrict the right of the Investment Adviser to perform investment management or other services for any other person or entity, and the performance of such services for others shall not be deemed to violate or give rise to any duty or obligation to the Portfolio or the Fund. Nothing in this Agreement shall limit or restrict the Investment Adviser or any of its partners, officers, affiliates or employees from buying, selling or trading in any securities for its or their own account. The Fund acknowledges that the Investment Adviser and its partners, officers, affiliates, employees and other clients may, at any time, have, acquire, increase, decrease, or dispose of positions in investments which are at the same time being acquired or disposed of for the Portfolio. The Investment Adviser shall have no obligation to acquire for the Portfolio a position in any investment which the Investment Adviser, its partners, officers, affiliates or employees may acquire for its or their own accounts or for the account of another client, so long as it continues to be the policy and practice of the Investment Adviser not to favor or disfavor consistently or consciously any client or class of clients in the allocation of investment opportunities so that, to the extent practical, such opportunities will be allocated among clients over a period of time on a fair and equitable basis. The Investment Adviser agrees that this Section 6 does not constitute a waiver by the Fund of the obligations imposed upon the Investment Adviser to comply with Sections 17(d) and 17(j) of the 1940 Act, and the rules thereunder, nor constitute a waiver by the Fund of the obligations imposed upon the Investment Adviser under Section 206 of the Investment Advisers Act of 1940 and the rules thereunder. Further, the Investment Adviser agrees that this Section 6 does not constitute a waiver by the Fund of the fiduciary obligation of the Investment Adviser arising under federal or state law, including Section 36 of the 1940 Act. The Investment Adviser agrees that this Section 6 shall be interpreted consistent with the provisions of Section 17(i) of the 1940 Act. SECTION 7. BOOKS AND RECORDS. In compliance with the requirements of Rule 3la-3 under the 1940 Act, the Investment Adviser hereby agrees that all records which it maintains for the Portfolio are the property of the Fund and further agrees to surrender promptly to the Fund any of such records upon the Fund's request. The Investment Adviser further agrees to preserve for the periods prescribed by Rule 3la-2 under the 1940 Act the records required to be maintained by Rule 3la-1 under the 1940 Act. SECTION 8. EXPENSES. During the term of this Agreement, the Investment Adviser will pay all expenses incurred by it in connection with its activities under this Agreement. The Portfolio shall bear all of its own expenses not specifically assumed by the Investment Adviser. General expenses of the Fund not readily identifiable as belonging to a Portfolio of the Fund shall be allocated among all investment portfolios by or under the direction of the Fund's Board of Directors in such manner as the Board determines to be fair and equitable. Expenses borne by the Portfolio shall include, but are not limited to, the following (or the Portfolio's share of the following): (a) the cost (including brokerage commissions) of securities purchased or sold by the Portfolio and any losses incurred in connection therewith; (b) fees payable to and expenses incurred on behalf of the Portfolio by the Investment Adviser; (c) filing fees and expenses relating to the registration and qualification of the Fund and the Portfolio's shares under federal and/or state securities laws and maintaining such registrations and qualifications; (d) fees and salaries payable to the Fund's directors and officers; (e) taxes (including any income or franchise taxes) and governmental fees; (f) costs of any liability and other insurance or fidelity bonds; (g) any costs, expenses or losses arising out of a liability of or claim for damages or other relief asserted against the Fund or the Portfolio for violation of any law; (h) legal, accounting and auditing expenses, including legal fees of special counsel for the independent directors; (i) charges of custodians and other agents; (j) expenses of setting in type and printing prospectuses, statements of additional information and supplements thereto for existing shareholders, reports, statements, and confirmations to shareholders and proxy material that are not attributable to a class; (k) costs of mailing prospectuses, statements of additional information and supplements thereto to existing shareholders, as well as reports to shareholders and proxy material that are not attributable to a class; (1) any extraordinary expenses; (m) fees, voluntary assessments and other expenses incurred in connection with membership in investment company organizations; (n) costs of mailing and tabulating proxies and costs of shareholders' and directors' meetings; (o) costs of independent pricing services to value a portfolio's securities; and (p) the costs of investment company literature and other publications provided by the Fund to its directors and officers. Distribution expenses, transfer agency expenses, expenses of preparation, printing and mailing, prospectuses, statements of additional information, proxy statements and reports to shareholders, and organizational expenses and registration fees, identified as belonging to a particular class of the Fund are allocated to such class. SECTION 9. VOTING. The Investment Adviser shall have the authority to vote as agent for the Fund, either in person or by proxy, tender and take all actions incident to the ownership of all securities in which the Portfolio's assets may be invested from time to time, subject to such policies and procedures as the Board of Directors of the Fund may adopt from time to time. SECTION 10. RESERVATION OF NAME. The Investment Adviser shall at all times have all rights in and to the Portfolio's name and all investment models used by or on behalf of the Portfolio. The Investment Adviser may use the Portfolio's name or any portion thereof in connection with any other mutual fund or business activity without the consent of any shareholder and the Fund shall execute and deliver any and all documents required to indicate the consent of the Fund to such use. The Fund hereby agrees that in the event that neither the Investment Adviser nor any of its affiliates acts as investment adviser to the Portfolio, the name of the Portfolio will be changed to one that does not contain the names "Bear Stearns" or the initials "BS" or otherwise suggest an affiliation with the Investment Adviser. SECTION 11. COMPENSATION. (a) For the services provided and the expenses assumed pursuant to this Agreement with respect to the Portfolio, the Fund will pay the Investment Adviser from the assets of the Portfolio and the Investment Adviser will accept as full compensation therefor a fee, computed daily and payable monthly, at the annual rate of 0.48% of the Portfolio's average daily net assets. For any period less than a full month during which this Agreement is in effect, the fee shall be prorated according to the proportion which such period bears to a full month. (b) The fee attributable to the Portfolio shall be satisfied only against assets of the Portfolio and not against the assets of any other investment portfolio of the Fund. The Investment Adviser may from time to time agree not to impose all or a portion of its fee otherwise payable hereunder (in advance of the time such fee or portion thereof would otherwise accrue) and/or undertake to pay or reimburse the Portfolio for all or a portion of its expenses not otherwise required to be borne or reimbursed by the Investment Adviser. SECTION 12. LIMITATION OF LIABILITY. The Investment Adviser shall not be liable for any error of judgment or mistake of law or for any loss suffered by the Fund in connection with the matters to which this Agreement relates, except a loss resulting from a breach of fiduciary duty with respect to the receipt of compensation for services or a loss resulting from willful misfeasance, bad faith or gross negligence on the part of the Investment Adviser in the performance of its duties or from reckless disregard by it of its obligations and duties under this Agreement ("disabling conduct"). The Portfolio will indemnify the Investment Adviser against and hold it harmless from any and all losses, claims, damages, liabilities or expenses (including reasonable counsel fees and expenses) resulting from any claim, demand, action or suit not resulting from disabling conduct by the Investment Adviser. Indemnification shall be made only following: (i) a final decision on the merits by a court or other body before whom the proceeding was brought that the Investment Adviser was not liable by reason of disabling conduct or (ii) in the absence of such a decision, a reasonable determination, based upon a review of the facts, that the Investment Adviser was not liable by reason of disabling conduct by (a) the vote of a majority of a quorum of directors of the Fund who are neither "interested persons" of the Fund nor parties to the proceeding ("disinterested non-party directors") or (b) an independent legal counsel in a written opinion. The Investment Adviser shall be entitled to advances from the Portfolio for payment of the reasonable expenses incurred by it in connection with the matter as to which it is seeking indemnification in the manner and to the fullest extent permissible under the Maryland General Corporation Law. The Investment Adviser shall provide to the Portfolio a written affirmation of its good faith belief that the standard of conduct necessary for indemnification by the Portfolio has been met and a written undertaking to repay any such advance if it should ultimately be determined that the standard of conduct has not been met. In addition, at least one of the following additional conditions shall be met: (a) the Investment Adviser shall provide a security in form and amount acceptable to the Portfolio for its undertaking; (b) the Portfolio is insured against losses arising by reason of the advance; or (c) a majority of a quorum of disinterested non- party directors, or independent legal counsel, in a written opinion, shall have determined, based upon a review of facts readily available to the Portfolio at the time the advance is proposed to be made, that there is reason to believe that the Investment Adviser will ultimately be found to be entitled to indemnification. Any amounts payable by the Portfolio under this Section shall be satisfied only against the assets of the Portfolio and not against the assets of any other investment portfolio of the Fund. The limitations on liability and indemnification provisions of this Section 12 shall not be applicable to any losses, claims, damages, liabilities or expenses arising from the Investment Adviser's rights to the Portfolio's name. The Investment Adviser shall indemnify and hold harmless the Fund and the Portfolio for any claims arising from the use of the terms "Bear Stearns" or "BS" in the name of the Portfolio. SECTION 13. DURATION AND TERMINATION. This Agreement shall become effective with respect to the Portfolio as of the date first above written and, unless sooner terminated as provided herein, shall continue with respect to the Portfolio until August 16, 2007. Thereafter, if not terminated, this Agreement shall continue with respect to the Portfolio for successive annual periods ending on August 16, provided such continuance is specifically approved at least annually (a) by the vote of a majority of those members of the Board of Directors of the Fund who are not parties to this Agreement or interested persons of any such party, cast in person at a meeting called for the purpose of voting on such approval, and (b) by the Board of Directors of the Fund or by vote of a majority of the outstanding voting securities of the Portfolio; provided, however, that this Agreement may be terminated with respect to the Portfolio by the Fund at any time, without the payment of any penalty, by the Board of Directors of the Fund or by vote of a majority of the outstanding voting securities of the Portfolio, on 60 days' prior written notice to the Investment Adviser, or by the Investment Adviser at any time, without payment of any penalty, on 60 days' prior written notice to the Fund. This Agreement will immediately terminate in the event of its assignment. (As used in this Agreement, the terms "majority of the outstanding voting securities," "interested person" and "assignment" shall have the same meaning as such terms have in the 1940 Act). SECTION 14. AMENDMENT OF THIS AGREEMENT. No provision of this Agreement may be changed, discharged or terminated orally, except by an instrument in writing signed by the party against which enforcement of the change, discharge or termination is sought, and no amendment of this Agreement affecting the Portfolio shall be effective until approved by vote of the holders of a majority of the outstanding voting securities of the Portfolio. SECTION 15. MISCELLANEOUS. The captions in this Agreement are included for convenience of reference only and in no way define or delimit any of the provisions hereof or otherwise affect their construction or effect. If any provision of this Agreement shall be held or made invalid by a court decision, statute, rule or otherwise, the remainder of this Agreement shall not be affected thereby. This Agreement shall be binding upon and shall inure to the benefit of the parties hereto and their respective successors and shall be governed by Delaware law. SECTION 16. NOTICE. All notices hereunder shall be given in writing and delivered by hand, national overnight courier, facsimile (provided written confirmation of receipt is obtained and said notice is sent via first class mail on the next business day) or mailed by certified mail, return receipt requested, as follows: If to the Investment Adviser: Bear Stearns Asset Management Inc. Stephen Bernstein General Counsel Bear Stearns Asset Management Inc. 383 Madison Avenue, 30th Floor New York, New York 10179 Fax: If to the Fund: The RBB Fund, Inc. 400 Bellevue Parkway Suite 100 Wilmington, DE 19809 Attn: Edward J. Roach Fax: 302-791-4830 The effective date of any notice shall be (i) the date such notice is sent if such delivery is effected by hand or facsimile, (ii) one business day after the date such notice is sent if such delivery is effected by national overnight courier; or (iii) the fifth (5th) Business Day after the date of mailing thereof. SECTION 17. GOVERNING LAW. This Agreement shall be governed by and construed and enforced in accordance with the laws of the State of Delaware without giving effect to the conflicts of laws principles thereof. SECTION 18. COUNTERPARTS. This Agreement may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. IN WITNESS WHEREOF, the parties hereto have caused this instrument to be executed by their officers designated below as of the day and year first above written. THE RBB FUND, INC. By: ______________________ Name: Edward J. Roach Title: President and Treasurer BEAR STEARNS ASSET MANAGEMENT INC. By: _______________________ Name: Title: -----END PRIVACY-ENHANCED MESSAGE-----