Compliance Obligations of Intermediary. Beginning no later than October 16, 2006, or such other date as the SEC may designate as the date by which mutual funds must be in compliance with Rule 22c-2, the Intermediary agrees to provide the Transfer Agent, upon written request, the taxpayer identification number (“TIN”), if known, of any or all shareholders and the amount, date, name or other identifier of any investment professional(s) associated with the shareholder(s) (if known), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of shares held through an account maintained by the Intermediary during the period covered by the request.
Appears in 8 contracts
Samples: Intermediary Agreement (Separate Account I of Integrity Life Insurance Co), Invesco Intermediary Agreement Regarding Compliance With Sec Rule 22c 2 (Separate Account I of National Integrity Life Ins Co), Intermediary Agreement (Separate Account Ii of National Integrity Life Insurance Co)
Compliance Obligations of Intermediary. Beginning no later than October 16, 2006, or such other date as the SEC may designate as the date by which mutual funds must be in compliance with Rule 22c-2, the Intermediary agrees to provide the Transfer Agent, upon written request, the taxpayer identification number (“"TIN”"), if known, of any or all shareholders and the amount, date, name or other identifier of any investment professional(s) associated with the shareholder(s) (if known), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of shares held through an account maintained by the Intermediary during the period covered by the request.
Appears in 3 contracts
Samples: Intermediary Agreement (National Variable Annuity Account Ii), Rule 22c 2 Agreement (Allianz Life Variable Account B), Intermediary Agreement (RBC Variable Annuity Account A)
Compliance Obligations of Intermediary. Beginning no later than October April 16, 20062007, or such other date as the SEC may designate as the date by which mutual funds must be in compliance with Rule 22c-2, the Intermediary agrees to provide the Transfer Agent, upon written request, the taxpayer identification number (“"TIN”"), if known, of any or all shareholders and the amount, date, name or other identifier of any investment professional(s) associated with the shareholder(s) (if known), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of shares held through an account maintained by the Intermediary during the period covered by the request.
Appears in 1 contract
Samples: Intermediary Agreement (Variflex Ls)
Compliance Obligations of Intermediary. Beginning no later than October 16, 20062007, or such other date as the SEC may designate as the date by which mutual funds must be in compliance with Rule 22c-2, the Intermediary agrees to provide the Transfer Agent, upon written request, the taxpayer identification number (“"TIN”"), if known, of any or all shareholders and the amount, date, name or other identifier of any investment professional(s) associated with the shareholder(s) (if known), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of shares held through an account maintained by the Intermediary during the period covered by the request.
Appears in 1 contract
Samples: Intermediary Agreement (Lincoln Life Variable Annuity Account N)
Compliance Obligations of Intermediary. Beginning no later than October 16, 2006, or such other date as the SEC may designate as the date by which mutual funds must be in compliance with Rule 22c-2Rule22c-2, the Intermediary agrees to provide the Transfer Agent, upon written request, the taxpayer identification number (“"TIN”"), if known, of any or all shareholders and the amount, date, name or other identifier of any investment professional(s) associated with the shareholder(s) (if known), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of shares held through an account maintained by the Intermediary during the period covered by the request.. ("Transaction Information")
Appears in 1 contract
Samples: Information Sharing Agreement (PHL Variable Accumulation Account)
