Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the regulations thereunder and the rules and regulations of the NASD, from time to time in effect, including the conditions of any exemptions therefrom as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 15 contracts
Sources: Distribution Agreement (State Farm Life Insurance Co Variable Annuity Separate Act), Distribution Agreement (Country Investors Variable Annuity Account), Distribution Agreement (Country Investors Variable Life Account)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and Act, the 1940 Act and the regulations thereunder Regulations, NASD Rules and the rules state laws and regulations of the NASDregulations, from time to time in effect, including such exemptions from the conditions of any exemptions therefrom 1940 Act as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 14 contracts
Sources: Distribution Agreement (Nationwide Provident Vli Separate Account 1), Distribution Agreement (Nationwide Provident Vli Separate Account A), Distribution Agreement (Nationwide Provident Vli Separate Account A)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the regulations Securities Exchange Act and the rules, regulations, and rulings thereunder and of the applicable rules and regulations of the NASD, from time to time in effect, including the conditions of any exemptions therefrom as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 14 contracts
Sources: Distribution Agreement (Pruco Life of New Jersey Variable Contract Real Property Acc), Distribution Agreement (Prudential Variable Contract Real Property Account), Distribution Agreement (Pruco Life Variable Contract Real Property Account)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the regulations Securities Exchange Act of the rules, regulations, and rulings thereunder and of the applicable rules and regulations of the NASD, from time to time in effect, including the conditions of any exemptions therefrom as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 13 contracts
Sources: Distribution Agreement (Prudential Variable Appreciable Account), Distribution Agreement (Prudential Variable Contract Account Gi-2), Distribution Agreement (Pruco Life Variable Universal Account)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, the 1934 Act Act, and the 1940 Act and the regulations thereunder rules, regulation, and the rules rulings thereunder, and regulations of the NASD, as in effect from time to time in effecttime, including the conditions of any such exemptions therefrom and other relief as the SEC SEC, its staff, or the NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 12 contracts
Sources: Distribution Agreement (First Citicorp Life Variable Annuity Separate Account), Distribution Agreement (Travelers Separate Account Five for Variable Annuities), Distribution Agreement (FSL Separate Account M)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the regulations thereunder Securities Exchange Act and the rules, regulations and rulings thereunder, and of the applicable rules and regulations of the NASD, and applicable state insurance law and other applicable law, from time to time in effect, including the conditions of any exemptions therefrom as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 9 contracts
Sources: Distribution Agreement (Southland Separate Account L1), Distribution Agreement (Pacific Select Exec Separate Acct Pacific Life Ins), Distribution Agreement (Security Life Separate Account A1)
Regulation. This Agreement agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the regulations thereunder 1934 Act and the rules, regulations and rulings thereunder, and of the applicable rules and regulations of the NASD, and applicable state insurance and securities laws, and other applicable laws, as may be in effect from time to time in effect, including the conditions of any exemptions therefrom as the SEC or NASD may granttime, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 9 contracts
Sources: Distribution Agreement (Reliastar Select Life Variable Account), Distribution Agreement (Reliastar Select Life Variable Account), Distribution Agreement (Reliastar Life Ins Co of New York Var Life Sep Acct I)
Regulation. This Agreement shall be subject to the provisions of the 1933 1940 Act, 1934 Act and 1940 the 1933 Act and the regulations thereunder Securities Exchange Act and the rules, regulations and rulings thereunder, and of the applicable rules and regulations of the NASD, from time to time in effect, including the conditions . The terms of any exemptions therefrom as the SEC or NASD may grant, and the terms hereof this Agreement shall be interpreted and construed in accordance therewith.
Appears in 9 contracts
Sources: Underwriting Agreement (Mony Series Fund Inc), Underwriting Agreement (Mony Series Fund Inc), Underwriting Agreement (Mony Series Fund Inc)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and the 1940 Act and the Securities Exchange Act and the rules, regulations and rulings promulgated thereunder and of the applicable rules and regulations of the NASD, from time to time in effect, including the conditions of any exemptions therefrom as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 9 contracts
Sources: Principal Underwriting Agreement (Thrivent Variable Life Account I), Principal Underwriting Agreement (Thrivent Variable Annuity Account I), Distribution Agreement (Thrivent Variable Annuity Account I)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the regulations thereunder 1934 Act and the rules, regulations and rulings thereunder, and of the applicable rules and regulations of the NASD, and applicable state insurance law and other applicable law, from time to time in effect, including the conditions of any exemptions therefrom as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 8 contracts
Sources: Distribution Agreement (Separate Account a of Pacific Life Insurance Co), Distribution Agreement (Pacific Corinthian Var Sep Acct of Pacific Corinthian Life I), Distribution Agreement (Separate Account B of Pacific Mutual Life Insurance Co)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and the 1940 Act and the regulations thereunder and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the conditions of any exemptions therefrom 1940 Act as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 6 contracts
Sources: Underwriting Agreement (American Equity Life Variable Account), Underwriting Agreement (Equitrust Life Variable Account), Underwriting Agreement (Equitrust Life Annuity Account Ii)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act Act, and 1940 Act and the regulations thereunder and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the conditions of any exemptions therefrom 1940 Act as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 6 contracts
Sources: Distribution Agreement (American Family Variable Account I), Distribution Agreement (American Family Variable Account Ii), Distribution Agreement (Modern Woodmen of America Variable Annuity Account)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the regulations thereunder Regulations and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the conditions of any exemptions therefrom 1940 Act as the SEC or NASD may grant, and the terms hereof of this Agreement shall be interpreted and construed in accordance therewith.
Appears in 5 contracts
Sources: Wholesaling Agreement (Separate Account KGC of First Allmerica Fin Life Ins Co), Wholesaling Agreement (Separate Account Kg of First Allmerica Fin Life Ins Co), Wholesaling Agreement (Separate Account Kg of Allmerica Fin Life Ins & Annuity Co)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the regulations Exchange Act and the rules, regulations, and rulings thereunder and of the applicable rules and regulations of the NASD, from time to time in effect, including the conditions of any exemptions therefrom as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 5 contracts
Sources: Distribution Agreement (Pruco Life Flexible Premium Variable Annuity Account), Distribution Agreement (Pruco Life Insurance Co), Distribution Agreement (Pruco Life Insurance of New Jersey)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the regulations thereunder Regulations and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the conditions of any exemptions therefrom 1940 Act as the SEC or NASD may grant, and the terms hereof of this Agreement shall be interpreted and construed in accordance therewith. Without limiting the generality of the foregoing, the term "assigned" shall not include any transaction exempted from Section 15(b)(2) of the 1940 Act.
Appears in 5 contracts
Sources: Wholesaling Agreement (Fulcrum Separate Account of Allmerica Fin Life Ins & Ann Co), Wholesaling Agreement (Separate Account Va-P of Allmerica Fin Life Insur & Annu Co), Wholesaling Agreement (Fulcrum Separate Account Allmerica Fin Life Ins & Annuity Co)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the regulations thereunder thereunder, and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the conditions of any exemptions therefrom 1940 Act as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 4 contracts
Sources: Underwriting Agreement (Continental Assurance Co Separate Account B), Underwriting Agreement (Continental Assurance Co Variable Life Separate Account), Underwriting Agreement (Valley Forge Life Insurance Co Variable Life Separate Accoun)
Regulation. This Agreement shall be subject to the any applicable provisions of the 1933 Act, 1934 Act and 1940 Act and the regulations Securities Exchange Act of the rules, regulations, and rulings thereunder and of the applicable rules and regulations of the NASD, from time to time in effect, including the conditions of any exemptions therefrom as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 4 contracts
Sources: Distribution Agreement (Pruco Life Variable Universal Account), Distribution Agreement (Pruco Life Variable Universal Account), Distribution Agreement (Pruco Life Variable Appreciable Account)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, the 1934 Act Act, and the 1940 Act and the regulations thereunder rules, regulation, and the rules rulings thereunder, and regulations of the NASD, as in effect from time to time in effecttime, including the conditions of any such exemptions therefrom and other relief as the SEC or NASD may grantSEC, and the terms hereof shall be interpreted and construed in accordance therewith.its
Appears in 4 contracts
Sources: Distribution Agreement (Travelers Separate Account Six for Variable Annuities), Distribution Agreement (Travelers Separate Account Seven for Variable Annuities), Distribution Agreement (Travelers Separate Account Eight for Variable Annuities)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 ---------- Act and the regulations thereunder Securities Exchange Act and the rules, regulations and rulings thereunder, and of the applicable rules and regulations of the NASD, and applicable state insurance law and other applicable law, from time to time in effect, including the conditions of any exemptions therefrom as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 2 contracts
Sources: Distribution Agreement (Pacific Select Exec Separate Acct Pacific Mutual Life Ins), Distribution Agreement (Pacific Select Exec Separate Acct Pacific Mutual Life Ins)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and Act, the 1940 Act and the regulations thereunder Regulations, and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the conditions of any exemptions therefrom 1940 Act as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 2 contracts
Sources: Distribution Agreement (Farmers Annuity Separate Account A), Distribution Agreement (Farmers Annuity Separate Account A)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, the 1934 Act and the 1940 Act and the regulations rules, regulations, and rulings thereunder and the rules and regulations of the NASD, from time to time in effect, including the conditions of any exemptions therefrom the SEC may grant therefrom, as well as the SEC or NASD may grantConduct Rules, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 2 contracts
Sources: Distribution Agreement (Northwestern Mutual Variable Life Account II), Distribution Agreement (NML Variable Annuity Account A)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the regulations thereunder 1934 Act and the rules, regulations and rulings thereunder, and of the applicable rules and regulations of the NASDNASD and applicable state insurance law and other applicable law, from time to time in effect, including the conditions of any exemptions therefrom as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 2 contracts
Sources: Distribution and Administrative Services Agreement (Separate Account N of Reliastar Life), Distribution and Administrative Services Agreement (Separate Account One of Northern Life Insurance Co)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the regulations Securities Exchange Act and of the rules, regulations, and rulings thereunder and of the applicable rules and regulations of the NASD, from time to time in effect, including the conditions of any exemptions therefrom as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 2 contracts
Sources: Distribution Agreement (Pruco Life of New Jersey Flxble Prmium Variable Annuity Acct), Distribution Agreement (Pruco Life of New Jersey Flxble Prmium Variable Annuity Acct)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the regulations thereunder Securities Exchange Act and the rules, regulations, and rulings therunder and of the applicable rules and regulations of the NASD, from time to time in effect, including the conditions of any exemptions therefrom as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 1 contract
Sources: Distribution Agreement (Pruco Life Insurance Co Single Premium Variable Life Account)
Regulation. This Agreement shall be subject to the all applicable provisions of state law and to the 1933 Act, ; 1934 Act and Act; 1940 Act Act; and the regulations thereunder Regulations and the rules and regulations of the NASD, from time to time in effect, ; including such exemptions from the conditions of any exemptions therefrom 1940 Act as the SEC or NASD may grant, and the . The terms hereof of this Agreement shall be interpreted and construed in accordance therewith.
Appears in 1 contract
Sources: Brokerage Agreement (Lincoln New York Separate Account T for Variable Annuities)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the regulations thereunder and the rules and regulations of the NASDNASD and SEC, from time to time in effect, including such exemptions from the conditions of any exemptions therefrom 1940 Act as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 1 contract
Sources: Distribution Agreement (Farmers Annuity Separate Account A)
Regulation. (a) This Agreement shall be subject to the provisions of the 1933 1940 Act, the 1934 Act and 1940 Act the rules, regulation, and the regulations thereunder rulings thereunder, and the rules and regulations of the NASD, as in effect from time to time in effecttime, including the conditions of any such exemptions therefrom and other relief as the SEC Commission, its staff, or the NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.accordance
Appears in 1 contract
Sources: Distribution Agreement (Tiaa Cref Institutional Mutual Funds)
Regulation. This Agreement shall be subject to the all applicable provisions ---------- of state law and to the 1933 Act, ; 1934 Act and Act; 1940 Act Act; and the regulations thereunder Regulations and the rules and regulations of the NASD, from time to time in effect, ; including such exemptions from the conditions of any exemptions therefrom 1940 Act as the SEC or NASD may grant, and the . The terms hereof of this Agreement shall be interpreted and construed in accordance therewith.
Appears in 1 contract
Sources: Broker Dealer Agreement (Lincoln Life Variable Annuity Account T)
Regulation. This Agreement agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the regulations thereunder 1934 Act and the rules, regulations and rulings thereunder, and of the applicable rules and regulations of the NASD, and applicable state insurance law and other applicable law, from time to time in effect, including the conditions of any exemptions therefrom as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 1 contract
Sources: Distribution Agreement (Reliastar Life Insur Co of Ny Var Annuity Separate Acct Ii)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and the 1940 Act and the regulations thereunder and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the conditions of any exemptions therefrom 1940 Act as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.. [The remainder of this page intentionally left blank]
Appears in 1 contract
Sources: Underwriting Agreement (Southern Farm Bureau Life Variable Account)
Regulation. This Agreement shall be subject to the provisions of the ----------- 1933 Act, 1934 Act and 1940 Act and the regulations thereunder and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the conditions of any exemptions therefrom 1940 Act as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 1 contract
Sources: Distribution Agreement (State Farm Life Insurance Co Variable Annuity Separate Act)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the regulations thereunder and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the conditions of any exemptions therefrom 1940 Act as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.. \\\ \\\ \\\
Appears in 1 contract
Sources: Distribution Agreement (Farmers Annuity Separate Account A)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the regulations thereunder 1934 Act and the rules, regulations and rulings thereunder, and of the applicable rules and regulations of the NASD, and applicable state insurance and securities laws, and other applicable laws, as may be in effect from time to time in effect, including the conditions of any exemptions therefrom as the SEC or NASD may granttime, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 1 contract
Sources: Distribution Agreement (Reliastar Life Ins Co of New York Var Life Sep Acct I)