Form and Timing of Response. Intermediary agrees to provide, promptly upon request of Fund Agent, the requested information specified in Section A.1. Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 is itself a “financial intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”) and, upon request of Fund Agent, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 for those Contractholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing Shares in nominee name on behalf of other persons. Intermediary additionally agrees to inform Fund Agent whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Parties. To the extent practicable, the format for any Contractholder and transaction information provided to Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 4 contracts
Sources: Participation Agreement (Zalico Variable Annuity Separate Account), Participation Agreement (ALAC Separate Account 1), Participation Agreement (ALAC Separate Account 1)
Form and Timing of Response. Intermediary (a) Counterparty agrees to provide, promptly upon request of the Fund Agentor its designee, the requested information specified in Section A.1above. Intermediary If requested by the Fund or its designee, Counterparty agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 above is itself a “financial intermediary,” as that term is defined in Rule 22c-2 intermediary (an “"Indirect Intermediary”") and, upon further request of the Fund Agentor its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 above for those Contractholders shareholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing Shares purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Intermediary Counterparty additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii). (b) above. Responses required by this paragraph Section 22 must be communicated in writing and in a format mutually agreed upon by the Parties. parties; and (c) To the extent practicable, the format for any Contractholder and transaction information provided to the Fund Agent should be consistent with the NSCC National Securities Clearing Corporation (“NSCC”) Standardized Data Reporting Format.
Appears in 4 contracts
Sources: Selling Agreement (Principal Funds Inc), Selling Agreement (Principal Funds Inc), Selling Agreement (Principal Funds Inc)
Form and Timing of Response. a. Intermediary agrees to provide, promptly upon request of the Fund Agentor its designee, the requested information specified in Section A.1paragraph 1 above. If requested by the Fund or its designee, Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 paragraph 1 is itself a “financial intermediary ("indirect intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”") and, upon further request of the Fund Agentor its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 paragraph 1 for those Contractholders shareholders who hold an account with an Indirect Intermediary indirect intermediary or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing Shares purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Intermediary additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii) above. ).
b. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Parties. parties.
c. To the extent practicable, the format for any Contractholder and transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 4 contracts
Sources: Fund Participation Agreement (Lincoln Life & Annuity Flexible Premium Variable Life Account M), Fund Participation Agreement (Lincoln Life & Annuity Flexible Premium Variable Life Account M), Amendment to Selling Group Agreement (Lincoln New York Account N for Variable Annuities)
Form and Timing of Response. 1.4.1. Intermediary agrees to provide, promptly upon request of the Fund Agentor its designee, the information requested information specified in Section A.1pursuant to this Article 1. If requested by the Fund or its designee, Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 1.1 is itself a financial intermediary (“financial indirect intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”) and, upon further request of the Fund Agentor its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 1.1 for those Contractholders Shareholders who hold an account with an Indirect Intermediary indirect intermediary or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing Shares purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Intermediary additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii) above).
1.4.2. Responses required by this paragraph Article 1 must be communicated in writing and in a format mutually agreed upon by the PartiesFund or its designee and the Intermediary. To the extent practicable, the format for any Contractholder and transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 4 contracts
Sources: Fund Participation Agreement (Prudential Annuities Life Assurance Corp Variable Account B), Fund Participation Agreement (Prudential Annuities Life Assurance Corp Variable Account B), Supplemental Agreement (Prudential Discovery Premier Group Variable Contract Account)
Form and Timing of Response. 1.2.1. Intermediary agrees to provide, promptly upon request of the Fund Agentor its designee, the requested information specified in Section A.11. If requested by the Fund or its designee, Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 1 is itself a financial intermediary (“financial indirect intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”) and, upon further request of the Fund Agentor its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 1 for those Contractholders shareholders who hold an account with an Indirect Intermediary indirect intermediary, or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing Shares purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Intermediary additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii) above).
1.2.2. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Partiesparties.
1.2.3. To the extent practicable, the format for any Contractholder and transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 3 contracts
Sources: Participation Agreement (Corporate Sponsored Vul Separate Account I), Participation Agreement (TIAA-CREF Life Separate Account VLI-2), Participation Agreement (New York Life Ins & Annuity Corp Var Univ Life Sep Acc I)
Form and Timing of Response. 1.2.1 Intermediary agrees to provide, promptly upon request of the Fund Agentor its designee, the requested information specified in Section A.11. If requested by the Fund or its designee, Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 1 is itself a financial intermediary (“financial indirect intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”) and, upon further request of the Fund Agentor its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 1 for those Contractholders shareholders who hold an account with an Indirect Intermediary indirect intermediary, or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing Shares purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Intermediary additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii) above. ).
1.2.2 Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Parties. .
1.2.3 To the extent practicable, the format for any Contractholder and transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 3 contracts
Sources: Participation Agreement (Dfa Investment Dimensions Group Inc), Participation Agreement (Dfa Investment Dimensions Group Inc), Participation Agreement (Dfa Investment Dimensions Group Inc)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund AgentAgent or its designee, the requested information specified in Section A.12.0. If requested by the Fund Agent or its designee, Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 2.0 is itself a financial intermediary (“financial indirect intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”) and, upon further request of the Fund AgentAgent or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 2.0 for those Contractholders shareholders who hold an account with an Indirect Intermediary indirect intermediary or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing Shares in nominee name on behalf of other personspurchasing, securities issued by the Fund. Intermediary additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii).
(b) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Parties. Fund Agent or its designee and the Intermediary; and
(c) To the extent practicable, the format for any Contractholder and transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 3 contracts
Sources: Shareholder Information Agreement (Prudential Variable Contract Account Gi-2), Shareholder Information Agreement (Pruco Life of New Jersey Variable Appreciable Account), Shareholder Information Agreement (Pruco Life Variable Universal Account)
Form and Timing of Response. Intermediary Company agrees to provide, promptly upon request of Fund Agent, the requested information specified in Section A.1. Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 is itself a “financial intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”) and, upon request of Fund Agent, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 for those Contractholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing Shares in nominee name on behalf of other persons. Intermediary additionally agrees to inform Fund Agent whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Parties. To the extent practicable, the format for any Contractholder and transaction information provided to Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 2 contracts
Sources: Participation Agreement (SBL Variable Annuity Account Xiv), Participation Agreement (SBL Variable Annuity Account Xi)
Form and Timing of Response. Intermediary agrees (a) Intermediaries agree to provide, promptly upon request of the Fund Agentor its designee, the requested information specified in Section A.1Paragraph 1. Intermediary agrees If requested by the Fund or its designee, Intermediaries agree to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 Paragraph 1 is itself a “financial intermediary ("indirect intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”") and, upon further request of the Fund Agentor its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 Paragraph 1 for those Contractholders shareholders who hold an account with an Indirect Intermediary indirect intermediary or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing Shares purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Intermediary Intermediaries additionally agrees agree to inform the Fund Agent whether it plans to perform (i) or (ii) above). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the PartiesFund or its designee and the Intermediaries. To the extent practicable, the format for any Contractholder and transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 2 contracts
Sources: Rule 22c 2 Agreement (Variable Account I of AGL of Delaware), Rule 22c 2 Agreement (Variable Account a American Intl Life Assur Co of New York)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund Agentor its designee, the requested information specified in Section A.1paragraph 2. If requested by the Fund or its designee, Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 paragraph 2 is itself a financial intermediary (“financial indirect intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”) and, upon further request of the Fund Agentor its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 paragraph 2 for those Contractholders shareholders who hold an account with an Indirect Intermediary indirect intermediary or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing Shares purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Intermediary additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii) above). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the PartiesFund or its designee and the Intermediary. To the extent practicable, the format for any Contractholder and transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 2 contracts
Sources: Participation Agreement (Standard Insurance Co), Participation Agreement (Tiaa-Cref Life Separate Account Vli-1)
Form and Timing of Response. Intermediary agrees to provide, promptly upon request of Fund Agent, the requested information specified in Section A.1. Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 is itself a “"financial intermediary,” " as that term is defined in Rule 22c-2 (an “"Indirect Intermediary”") and, upon request of Fund Agent, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 for those Contractholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing Shares in nominee name on behalf of other persons. Intermediary additionally agrees to inform Fund Agent whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Parties. To the extent practicable, the format for any Contractholder and transaction information provided to Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 2 contracts
Sources: Participation Agreement (Lincoln Life Flexible Premium Variable Life Account M), Participation Agreement (Lincoln Life Flexible Premium Variable Life Account M)
Form and Timing of Response. Intermediary Dealer agrees to provide, promptly upon request of the Fund Agentor its designee, the requested information specified in Section A.1paragraph (a). Intermediary If requested by the Fund or its designee, Dealer agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 paragraph (a) is itself a financial intermediary (“financial indirect intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”) and, upon further request of the Fund Agentor its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 paragraph (a) for those Contractholders shareholders who hold an account with an Indirect Intermediary indirect intermediary or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing Shares purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Intermediary Dealer additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii) above). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Partiesparties. To the extent practicable, the format for any Contractholder and transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 2 contracts
Sources: Mutual Fund Sales and Services Agreement (Huntington Funds), Mutual Fund Sales and Services Agreement (Huntington Funds)
Form and Timing of Response. Intermediary Company agrees to provide, promptly upon request of Fund Agent, the requested information specified in Section A.1A.
1. Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 is itself a “"financial intermediary,” " as that term is defined in Rule 22c-2 (an “"Indirect Intermediary”") and, upon request of Fund Agent, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 for those Contractholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing Shares in nominee name on behalf of other persons. Intermediary additionally agrees to inform Fund Agent whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Parties. To the extent practicable, the format for any Contractholder and transaction information provided to Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 2 contracts
Sources: Participation Agreement (SBL Variable Annuity Account Xi), Participation Agreement (SBL Variable Annuity Account Xiv)
Form and Timing of Response. Intermediary The Company agrees to provide, promptly upon request of Fund Agentthe Fund, the requested information specified in this Section A.114.
1. Intermediary The Company agrees to use its best commercially reasonable efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 this section is itself a “"financial intermediary,” " as that term is defined in Rule 22c-2 under the 1940 Act (an “"Indirect Intermediary”") and, upon request of Fund Agentthe Fund, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 this section for those Contractholders Contract Owners who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing Shares shares in nominee name on behalf of other persons. Intermediary The Company additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Partiesparties. To the extent practicable, the format for any Contractholder Contract Owner and transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 2 contracts
Sources: Participation Agreement (Lincoln Life Variable Annuity Account N), Participation Agreement (Lincoln New York Account N for Variable Annuities)
Form and Timing of Response. Intermediary agrees to provide, promptly upon request of the Fund Agentor its designee, the requested information specified in Section A.11. If requested by the Fund or its designee, Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 1 is itself a financial intermediary (“financial indirect intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”) and, upon further request of the Fund Agentor its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 1 for those Contractholders shareholders who hold an account with an Indirect Intermediary indirect intermediary, or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing Shares purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Intermediary additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii) above). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Parties. To the extent practicable, the format for any Contractholder and transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 1 contract
Form and Timing of Response. 1.2.1. Intermediary agrees to provide, promptly upon request of the Fund Agentor its designee, the requested information specified in Section A.11. If requested by the Fund or its designee, Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 1 is itself a “financial intermediary ("indirect intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”") and, upon further request of the Fund Agentor its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 1 for those Contractholders shareholders who hold an account with an Indirect Intermediary indirect intermediary, or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing Shares purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Intermediary additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii) above).
1.2.2. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Partiesparties.
1.2.3. To the extent practicable, the format for any Contractholder and transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 1 contract
Sources: Participation Agreement (Jefferson National Life Annuity Account G)
Form and Timing of Response. Intermediary agrees to provide, promptly upon request of Fund Agent, the requested information specified in Section A.1. Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 is itself a “financial intermediary,” as that term is defined in Rule 22c-2 (an “Indirect an”Indirect Intermediary”) and, upon request of Fund Agent, promptly either (ieither(i) provide (or arrange to have provided) the information set forth in Section A.1 for those Contractholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing Shares in nominee name on behalf of other persons. Intermediary additionally agrees to inform Fund Agent whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Parties. To the extent practicable, the format for any Contractholder and transaction information provided to Fund Agent should be consistent with the withthe NSCC Standardized Data Reporting Format.
Appears in 1 contract
Sources: Participation Agreement (KILICO Variable Annuity Separate Account - 3)
Form and Timing of Response. Intermediary agrees to provide, promptly upon request of Fund Agentthe Trust or its designee, the requested information specified in Section A.11 above. If requested by the Trust or its designee, Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 1 is itself a “financial intermediary ("indirect intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”") and, upon further request of Fund Agentthe Trust or its -- .. -. designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 1 for those Contractholders shareholders who hold an account with an Indirect Intermediary indirect intermediary or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing Shares purchasing, in nominee name on behalf of other persons, securities issued by the Trust. Intermediary additionally agrees to inform Fund Agent the Trust whether it plans to perform (i) or (ii) above). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Partiespal1ies. To the extent practicable, the format for any Contractholder and transaction information provided to Fund Agent the Trust should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 1 contract
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund Agentor its designee, the requested information specified in Section A.11.1. If requested by the Fund or its designee, Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 1.1 is itself a financial intermediary (“financial indirect intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”) and, upon further request of the Fund Agentor its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 1.1 for those Contractholders shareholders who hold an account with an Indirect Intermediary indirect intermediary or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing Shares purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Intermediary additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii).
(b) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Parties. parties; and
(c) To the extent practicable, the format for any Contractholder and transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 1 contract
Sources: Mutual Fund Selling Group Agreement (Rs Investment Trust)
Form and Timing of Response. Intermediary agrees to provide, promptly upon request of Fund Agent, the requested information specified in Section A.1A.
1. Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 is itself a “"financial intermediary,” " as that term is defined in Rule 22c-2 (an “"Indirect Intermediary”") and, upon request of Fund Agent, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 for those Contractholders shareholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing Shares in nominee name on behalf of other persons. Intermediary additionally agrees to inform Fund Agent whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Parties. To the extent practicable, the format for any Contractholder Shareholder and transaction information provided to Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 1 contract
Sources: Rule 22c 2 Agreement (Variflex Ls)
Form and Timing of Response. Intermediary Each Company agrees to provide, promptly upon request of Fund Agentthe Fund, the requested information specified in this Section A.114.1. Intermediary each Company agrees to use its best commercially reasonable efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 this section is itself a “financial intermediary,” as that term is defined in Rule 22c-2 under the 1940 Act (an “Indirect Intermediary”) and, upon request of Fund Agentthe Fund, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 this section for those Contractholders Contract Owners who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing Shares shares in nominee name on behalf of other persons. Intermediary Each Company additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Partiesparties. To the extent practicable, the format for any Contractholder Contract Owner and transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 1 contract
Sources: Participation Agreement (Variable Annuity-2 Series Account)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund Agentor its designee, the requested information specified in Section A.1paragraph 2. If requested by the Fund or its designee, Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 paragraph 2 is itself a “financial intermediary ("indirect intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”") and, upon further request of the Fund Agentor its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 paragraph 2 for those Contractholders shareholders who hold an account with an Indirect Intermediary indirect intermediary or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing Shares purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Intermediary additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii) above). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the PartiesFund or its designee and the Intermediary. To the extent practicable, the format for any Contractholder and transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 1 contract
Form and Timing of Response. Intermediary (a) Counterparty agrees to provide, promptly upon request of the Fund Agentor its designee, the requested information specified in Section A.1above. Intermediary If requested by the Fund or its designee, Counterparty agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 above is itself a “financial intermediary,” as that term is defined in Rule 22c-2 intermediary (an “"Indirect Intermediary”") and, upon further request of the Fund Agentor its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 above for those Contractholders shareholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing Shares purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Intermediary Counterparty additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii). (b) above. Responses required by this paragraph Section 22 must be communicated in writing and in a format mutually agreed upon by the Parties. parties; and (c) To the extent practicable, the format for any Contractholder and transaction information provided to the Fund Agent should be consistent with the NSCC National Securities Clearing Corporation (“NSCC”) Standardized Data Reporting Format.Data
Appears in 1 contract
Form and Timing of Response. Intermediary Company agrees to provide, promptly upon request of Fund Agentthe Fund, the requested information specified in this Section A.114.1. Intermediary Company agrees to use its best commercially reasonable efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 this section is itself a “"financial intermediary,” " as that term is defined in Rule 22c-2 under the 1940 Act (an “"Indirect Intermediary”") and, upon request of Fund Agentthe Fund, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 this section for those Contractholders Contract Owners who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing Shares shares in nominee name on behalf of other persons. Intermediary Company additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Partiesparties. To the extent practicable, the format for any Contractholder Contract Owner and transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Formatformat.
Appears in 1 contract
Sources: Participation Agreement (PLICO Variable Annuity Account S)
Form and Timing of Response. The Intermediary agrees to provide, provide promptly upon request of Fund Agent, the requested information specified in Section A.1. B. If requested by Administrator, Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified specific in Section A.1 B is itself a financial intermediary (“financial indirect intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”) and, upon request of Fund Agent, and to promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 B for those Contractholders shareholders who hold an account with an Indirect Intermediary indirect intermediary or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing Shares purchasing, in nominee name on behalf of other persons, the Funds administered by the Administrator. Intermediary additionally agrees to shall promptly inform Fund Agent the Administrator whether it plans to perform (i) provide such information or (ii) aboverestrict trading. Responses If the Intermediary intends to restrict trading, such restrictions shall be consistent with the Excessive Trading Policy and the terms of the Variable Products. A response required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Partiesformat. To the extent practicablepractical, the format for any Contractholder and transaction information provided to Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 1 contract
Sources: Rule 22c 2 Agreement (SEPARATE ACCOUNT B OF VOYA INSURANCE & ANNUITY Co)
Form and Timing of Response. 1.2.1. Intermediary agrees to provide, promptly upon request of the Fund Agentor its designee, the requested information specified in Section A.11. If requested by the Fund or its designee, Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 1 is itself a “financial intermediary ("indirect intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”") and, upon further request of the Fund Agentor its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 1 for those Contractholders shareholders who hold an account with an Indirect Intermediary indirect intermediary, or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing Shares purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Intermediary additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii) above).
1.2.2. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Parties.
1.2.3. To the extent practicable, the format for any Contractholder and transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 1 contract
Sources: Participation Agreement (Horace Mann Life Insurance Co Separate Account)
Form and Timing of Response. Intermediary agrees to provide, promptly upon request of Fund Agent, the requested information specified in Section A.1. Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 A.l is itself a “financial intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”) and, upon request of Fund Agent, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 for those Contractholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing Shares in nominee name on behalf of other persons. Intermediary additionally agrees to inform Fund Agent whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Parties. To the extent practicable, the format for any Contractholder and transaction information provided to Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 1 contract
Sources: Participation Agreement (Annuity Investors Variable Account C)
Form and Timing of Response. Intermediary Company agrees to provide, promptly upon request of the Fund Agentor its designee, the requested information specified in Section A.1I. (1). Intermediary If requested by the Fund or its designee, Company agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 I. (1) is itself a “financial intermediary ("indirect intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”") and, upon further request of the Fund Agentor its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 I. (1) for those Contractholders shareholders who hold an account with an Indirect Intermediary indirect intermediary or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing Shares purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Intermediary Company additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii) above). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Partiesparties. To the extent practicable, the format for any Contractholder and transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 1 contract
Form and Timing of Response. 1.2.1. Intermediary agrees to provide, promptly upon request of the Fund Agentor its designee, the requested information specified in Section A.11. If requested by the Fund or its designee, Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in Section A.1 1 is itself a financial intermediary (“financial indirect intermediary,” as that term is defined in Rule 22c-2 (an “Indirect Intermediary”) and, upon further request of the Fund Agentor its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section A.1 1 for those Contractholders shareholders who hold an account with an Indirect Intermediary indirect intermediary, or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing Shares purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Intermediary additionally agrees to inform the Fund Agent whether it plans to perform (i) or (ii) above),
1.2.2. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the Partiesparties.
1.2.3. To the extent practicable, the format for any Contractholder and transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 1 contract
Sources: Shareholder Services Agreement (Aul American Unit Trust)