Common use of Form and Timing of Response Clause in Contracts

Form and Timing of Response. You agree to provide, promptly upon request of the Fund or its designee, the requested information specified in Section I. (1). If requested by the Fund or its designee, you agree to use best efforts to determine promptly whether any specific person about whom you have received identification and transaction information specified in Section I. (1) is itself a financial intermediary (“indirect intermediary”) and, upon further request of the Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section I. (1) for those shareholders who hold an account with an indirect intermediary or (ii) restrict or prohibit the indirect intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. You additionally agree to inform the Fund whether you plan to perform (i) or (ii). 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 transaction information provided to the Fund should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 268 contracts

Samples: Dealer Agreement (Natixis Funds Trust IV), Dealer Agreement (Loomis Sayles Funds Ii), Dealer Agreement (Gateway Trust)

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Form and Timing of Response. You agree to provide, promptly upon request of the Fund or its designee, the requested information specified in Section I. (1). If requested by the Fund or its designee, you agree to use best efforts to determine promptly whether any specific person about whom you have received identification and transaction information specified in Section I. (1) is itself a financial intermediary ("indirect intermediary") and, upon further request of the Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section I. (1) for those shareholders who hold an account with an indirect intermediary or (ii) restrict or prohibit the indirect intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. You additionally agree to inform the Fund whether you plan to perform (i) or (ii). 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 transaction information provided to the Fund should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 17 contracts

Samples: Dealer Agreement (Natixis Funds Trust II), Dealer Agreement (Gateway Trust), Dealer Agreement (Loomis Sayles Funds Ii)

Form and Timing of Response. You agree The Company agrees to provide, provide promptly upon request of by the Fund or its designee, designee the requested information specified in Section I. (1). A. If requested by the Fund or its designee, you agree the Company agrees to use its best efforts to determine promptly whether any specific person about whom you have it has received the identification and transaction information specified in Section I. (1) A is itself a financial intermediary (“indirect intermediary”) and, upon further request of by the Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section I. (1) A for those shareholders who hold an account with an indirect intermediary or (ii) restrict or prohibit the indirect intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. You additionally agree to The Company shall promptly inform the Fund or its designee whether you plan it plans to perform (i) provide such information or (ii)restrict trading. Responses 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 transaction information provided to the Fund should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 14 contracts

Samples: Participation Agreement (Tiaa Separate Account Va-3), Participation Agreement (Tiaa Separate Account Va-3), Participation Agreement (Tiaa Separate Account Va-3)

Form and Timing of Response. You agree Intermediary agrees to provide, promptly upon request of the Fund or its designeeAgent, the requested information specified in Section I. (1)A.1. If requested by the Fund or its designee, you agree Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom you have it has received the identification and transaction information specified in Section I. (1) A.1 is itself a financial intermediary intermediary,” as that term is defined in Rule 22c-2 (an indirect intermediaryIndirect Intermediary”) and, upon further request of the Fund or its designeeAgent, promptly either (i) provide (or arrange to have provided) the information set forth in Section I. (1) A.1 for those shareholders Contractholders who hold an account with an indirect intermediary Indirect Intermediary or (ii) restrict or prohibit the indirect intermediary Indirect Intermediary from purchasing, purchasing Shares in nominee name on behalf of other persons, securities issued by the Fund. You Intermediary additionally agree agrees to inform the Fund Agent whether you plan 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 4 contracts

Samples: Participation Agreement (Zalico Variable Annuity Separate Account), Participation Agreement (ALAC Separate Account 1), Participation Agreement (Tiaa-Cref Life Separate Account Vli-1)

Form and Timing of Response. You agree 1.2.1. Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in Section I. (1). If requested by the Fund or its designee, you agree Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom you have it has received the identification and transaction information specified in Section I. (1) 1 is itself a financial intermediary (“indirect intermediary”) and, upon further request of the Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section I. (1) 1 for those shareholders who hold an account with an indirect intermediary intermediary, or (ii) restrict or prohibit the indirect intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. You Intermediary additionally agree agrees to inform the Fund whether you plan it plans to perform (i) or (ii). 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 transaction information provided to the Fund should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 3 contracts

Samples: Participation Agreement (Dfa Investment Dimensions Group Inc), Participation Agreement (Dfa Investment Dimensions Group Inc), Participation Agreement (Dfa Investment Dimensions Group Inc)

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Form and Timing of Response. You agree Dealer agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in Section I. paragraph (1a). If requested by the Fund or its designee, you agree Dealer agrees to use best efforts to determine promptly whether any specific person about whom you have it has received the identification and transaction information specified in Section I. paragraph (1a) is itself a financial intermediary (“indirect intermediary”) and, upon further request of the Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section I. paragraph (1a) for those shareholders who hold an account with an indirect intermediary or (ii) restrict or prohibit the indirect intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. You Dealer additionally agree agrees to inform the Fund whether you plan it plans to perform (i) or (ii). 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 transaction information provided to the Fund should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 2 contracts

Samples: Mutual Fund Sales and Services Agreement (Huntington Funds), Services Agreement (Huntington Funds)

Form and Timing of Response. You agree Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in Section I. (1). If requested by the Fund or its designee, you agree Intermediary agrees to use its best efforts to determine promptly whether any specific person about whom you have it has received the identification and transaction information specified in Section I. (1) 1 is itself a financial intermediary (“indirect intermediary”) and, upon further request of the Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section I. (1) 1 for those shareholders who hold an account with an indirect intermediary intermediary, or (ii) restrict or prohibit the indirect intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. You Intermediary additionally agree agrees to inform the Fund whether you plan it plans to perform (i) or (ii). 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 transaction information provided to the Fund should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 1 contract

Samples: Participation Agreement (Protective COLI VUL)

Form and Timing of Response. You agree Company agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in Section I. (1). If requested by the Fund or its designee, you agree Company agrees to use best efforts to determine promptly whether any specific person about whom you have it has received identification and transaction information specified in Section I. (1) is itself a financial intermediary ("indirect intermediary") and, upon further request of the Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in Section I. (1) for those shareholders who hold an account with an indirect intermediary or (ii) restrict or prohibit the indirect intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. You Company additionally agree agrees to inform the Fund whether you plan it plans to perform (i) or (ii). 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 transaction information provided to the Fund should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 1 contract

Samples: Servicing Agreement (Aul American Unit Trust)

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