Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 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 paragraph 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. (b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. (c) 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 344 contracts
Samples: Selling Group Agreement (Deutsche DWS Market Trust), Amendment to Selling Group Agreement (Deutsche DWS Money Funds), Amendment to Selling Group Agreement (Cash Account Trust)
Form and Timing of Response. (a) Intermediary agrees You agree to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 aboveSection I. (1). If requested by the Fund or its designee, Intermediary agrees you agree to use best efforts to determine promptly whether any specific person about whom it has you have received the identification and transaction information specified in paragraph 1 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 paragraph 1 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 (bi) or (ii). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) . 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 I), Dealer Agreement (Natixis Funds Trust II)
Form and Timing of Response. (a) Intermediary Company agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above. If requested by the Fund or its designee, Intermediary Company agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 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 paragraph 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. Company additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) 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 54 contracts
Samples: Participation Agreement (Brighthouse Separate Account A), Participation Agreement (Protective NY COLI VUL), Participation Agreement (Protective COLI VUL)
Form and Timing of Response. (a) Intermediary agrees You agree to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 aboveSection I. (1). If requested by the Fund or its designee, Intermediary agrees you agree to use best efforts to determine promptly whether any specific person about whom it has you have received the identification and transaction information specified in paragraph 1 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 paragraph 1 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 (bi) or (ii). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) . 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 (Gateway Trust), Dealer Agreement (Natixis Funds Trust II), Dealer Agreement (Natixis Funds Trust I)
Form and Timing of Response. (a) Intermediary The Company agrees to provide, promptly upon request of the Fund or its designeeFund, the requested information specified in paragraph 1 abovethis Section 14.1. If requested by the Fund or its designee, Intermediary The Company agrees to use best commercially reasonable efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 this section is itself a “financial intermediary intermediary,” as that term is defined in Rule 22c-2 under the 1940 Act (an “indirect intermediaryIndirect Intermediary”) and, upon further request of the Fund or its designeeFund, promptly either (i) provide (or arrange to have provided) the information set forth in paragraph 1 this section for those shareholders Contract Owners 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 Company additionally agrees to inform the Fund.
Fund whether it plans to perform (bi) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) . To the extent practicable, the format for any Contract Owner and transaction information provided to the Fund should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 15 contracts
Samples: Participation Agreement (Separate Account a of Pacific Life & Annuity Co), Participation Agreement (Separate Account a of Pacific Life & Annuity Co), Participation Agreement (Separate Account a of Pacific Life Insurance Co)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above1. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 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 paragraph 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.Fund or its designee and the Intermediary; and
(c) 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 10 contracts
Samples: Shareholder Information Agreement (Transamerica Corporate Separate Account Sixteen), Shareholder Information Agreement (Transamerica Corporate Separate Account Sixteen), Shareholder Information Agreement (Transamerica Corporate Separate Account Sixteen)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 aboveSection 2.0. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 Section 2.0 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 paragraph 1 Section 2.0 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.Fund or its designee and the Intermediary; and
(c) 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 10 contracts
Samples: Shareholder Information Agreement (Prudential Variable Contract Account Gi-2), Shareholder Information Agreement (Prudential Variable Contract Account Gi-2), Shareholder Information Agreement (Prudential Variable Contract Account Gi-2)
Form and Timing of Response. (a) Intermediary Company agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above. If requested by the Fund or its designee, Intermediary Company agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 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 paragraph 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. Company additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) 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 9 contracts
Samples: Participation Agreement (Principal Life Insurance Co Separate Account B), Participation Agreement (Principal Life Insurance Co Separate Account B), Participation Agreement (DWS Variable Series I)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 aboveB.1. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 B.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 paragraph 1 B.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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.Fund or its designee and the Intermediary; and
(c) 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 8 contracts
Samples: Participation Agreement (Separate Account I of National Integrity Life Ins Co), Information Sharing Agreement (Separate Account I of National Integrity Life Ins Co), Participation Agreement (Separate Account I of Integrity Life Insurance Co)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above. XV.A. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 XV.A is itself a financial an intermediary (“indirect intermediaryIndirect 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 paragraph 1 XV.A for those shareholders who hold an account with an indirect intermediary Indirect Intermediary or (ii) restrict or prohibit the indirect intermediary Indirect Intermediary from purchasing, in nominee name on behalf of other persons, securities Shares issued by the Fund.
. Intermediary additionally agrees to inform the Fund or its designee whether it plans to perform (bi) or (ii). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) . To the extent practicable, the format for any transaction information provided to the Fund should be consistent with the NSCC Standardized Data Reporting FormatFormat or another industry standardized data reporting format.
Appears in 8 contracts
Samples: Selling Agreement (Nexpoint Event-Driven Fund), Selling Agreement (Nexpoint Opportunistic Credit Fund), Selling Agreement (Nexpoint Opportunistic Credit Fund)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above1. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 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 paragraph 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.Fund or its designee and the Intermediary; and
(c) 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 8 contracts
Samples: Participation Agreement (Separate Account VA QQ), Participation Agreement (Separate Account VA QQ), Retail Fund Participation Agreement (Merrill Lynch Life Variable Annuity Separate Account D)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above. this Section B. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 this Section B 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 paragraph 1 this Section B 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.Fund or its designee and the Intermediary; and
(c) 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 7 contracts
Samples: Shareholder Information Agreement (National Variable Annuity Account Ii), Shareholder Information Agreement (FSL Separate Account M), Shareholder Information Agreement (FSL Separate Account M)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above1. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 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 paragraph 1 for those shareholders Variable Insurance Product owners 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.Fund or its designee and the Intermediary; and
(c) 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 7 contracts
Samples: Shareholder Information Sharing Agreement (Transamerica Corporate Separate Account Sixteen), Shareholder Information Sharing Agreement (WRL Series Life Corporate Account), Shareholder Information Sharing Agreement (Transamerica Corporate Separate Account Sixteen)
Form and Timing of Response. (a) Intermediary Insurance Company agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above15.1. If requested by the Fund Fund, or its designee, Intermediary Insurance Company agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 15.1 is itself a financial intermediary (“indirect intermediary”) and, upon further request of the Fund Fund, or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in paragraph 1 15.1 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. Insurance Company additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) 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 Insurance Company.
(c) 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 7 contracts
Samples: Fund Participation Agreement (Country Investors Variable Annuity Account), Fund Participation Agreement (Country Investors Variable Life Account), Fund Participation Agreement (Equitrust Life Annuity Account)
Form and Timing of Response. (a) 1.2.1. Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 aboveSection 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 paragraph Section 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 paragraph Section 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) 1.2.2. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the partiesParties.
(c) 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 7 contracts
Samples: 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 Insurer agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above2 hereof. If requested by the Fund or its designee, Intermediary Insurer agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 2 hereof 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 paragraph 1 2 hereof 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.
. Insurer additionally agrees to inform the Fund whether it plans to perform (i) or (ii); (b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
Fund or its designee and the Insurer; and (c) 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 6 contracts
Samples: Shareholder Information Agreement (Farm Bureau Life Variable Account), Shareholder Information Agreement (Country Investors Variable Annuity Account), Shareholder Information Agreement (Farm Bureau Life Annuity Account)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above1. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 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 paragraph 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.Fund or its designee and the Intermediary; and
(c) 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 6 contracts
Samples: Rule 22c 2 Agreement (Lincoln New York Account N for Variable Annuities), Shareholder Information Agreement (Lincoln Life Variable Annuity Account N), Shareholder Information Agreement (Variable Annuity Account A)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above2.
1. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 2.1 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 paragraph 1 2.1 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.Fund or its designee and the Intermediary; and
(c) To the extent practicable, the format for any transaction information provided to the Fund should be consistent with the NSCC Standardized Data Reporting FormatFormat provided, however, that the Fund shall not require the Intermediary to report to the Fund using the NSCC Standardized Data Reporting Service.
Appears in 6 contracts
Samples: Shareholder Information Agreement (Minnesota Life Variable Universal Life Account), Shareholder Information Agreement (Advantus Series Fund Inc), Shareholder Information Agreement (Advantus Series Fund Inc)
Form and Timing of Response. (a) a. Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 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 paragraph 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) b. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) c. 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 4 contracts
Samples: Fund Participation Agreement (Lincoln Life & Annuity Flexible Premium Variable Life Account M), Fund Participation Agreement (Lincoln Life & Annuity Flexible Premium Variable Life Account M), Fund Participation Agreement (Lincoln New York Account N for Variable Annuities)
Form and Timing of Response. (a) 1.4.1. Intermediary agrees to provide, promptly upon request of the Fund or its designee, the information requested information specified in paragraph 1 abovepursuant to this Article 1. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 Section 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 paragraph 1 Section 1.1 for those shareholders 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) 1.4.2. Responses required by this paragraph Article 1 must be communicated in writing and in a format mutually agreed upon by the parties.
(c) Fund or its designee and the Intermediary. 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 4 contracts
Samples: 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 Select Group Variable Contract Acct)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above. this Section B. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 this Section B 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 paragraph 1 this Section B 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.Fund or its designee and the Intermediary; and
(c) 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: Shareholder Information Agreement (Protective Variable Annuity Separate Account), Shareholder Information Agreement (Annuity Investors Variable Account C), Shareholder Information Agreement (Protective Variable Annuity Separate Account)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designeedesignee but in no event, later than five (5) business days after receipt of a request, the requested information specified in paragraph 1 aboveSection 2.0. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 Section 2.0 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 paragraph 1 Section 2.0 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.Fund or its designee and the Intermediary; and
(c) 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: 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. (a) Intermediary agrees to provide, promptly upon request of the Fund Agent or its designee, the requested information specified in paragraph 1 aboveSection 2.0. If requested by the Fund Agent or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 Section 2.0 is itself a financial intermediary (“indirect intermediary”) and, upon further request of the Fund Agent or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in paragraph 1 Section 2.0 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) 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 transaction information provided to the Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.
Appears in 3 contracts
Samples: 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. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above. Section A. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 Section A 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 paragraph 1 Section 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. Intermediary additionally agrees to inform the Fund or its designee whether it plans to perform (i) or (ii).
(b) 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.
(c) 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: Shareholder Information Agreement (Titanium Universal Life Variable Account), Shareholder Information Agreement (Llac Variable Account), Shareholder Information Agreement (Protective Variable Annuity Separate Account)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 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 paragraph 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.
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) 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: Amendment to Selling Group Agreement (National Variable Life Insurance Account), Amendment to Selling Group Agreement (Columbus Life Separate Account 1), Selling Group Agreement (United of Omaha Separate Account C)
Form and Timing of Response. (a) Intermediary Insurance Company agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above15.1. If requested by the Fund Fund, or its designee, Intermediary Insurance Company agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 15.1 is itself a financial intermediary (“indirect intermediary”) and, upon further request of the Fund Fund, or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in paragraph 1 15.1 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.
. Insurance Company additionally agrees to inform the Fund whether it plans to perform (i) or (ii). (b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
Fund or its designee and the Insurance Company; and (c) 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: Fund Participation Agreement (Separate Account Ii of National Integrity Life Insurance Co), Fund Participation Agreement (Separate Account I of Integrity Life Insurance Co), Fund Participation Agreement (National Variable Annuity Account Ii)
Form and Timing of Response. (a) Intermediary Dealer agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above(a). If requested by the Fund or its designee, Intermediary Dealer agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 (a) 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 paragraph 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.
. Dealer additionally agrees to inform the Fund whether it plans to perform (bi) or (ii). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) . 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), Mutual Fund Sales and Services Agreement (Huntington Funds)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 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 paragraph 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) 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: Amendment to Selling Group Agreement (John Hancock Life Insurance Co (Usa) Separate Account H), Amendment to Selling Group Agreement (FSL Separate Account M)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above. Section A. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 Section A 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 paragraph 1 Section 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. Intermediary additionally agrees to inform the Fund or its designee whether it plans to perform (i) or (ii).
(b) 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.
(c) 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: Shareholder Information Agreement (Talcott Resolution Life Insurance Co Separate Account Seven), Shareholder Information Agreement (Talcott Resolution Life & Annuity Insurance Co Separate Account Seven)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 aboveParagraph 1. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph Paragraph 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 paragraph Paragraph 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.
. Intermediary additionally agrees to inform the Fund whether it plans to perform (bi) or (ii). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) Fund or its designee and the Intermediary. 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: Rule 22c 2 Agreement (Lincoln New York Account N for Variable Annuities), Rule 22c 2 Agreement (Lincoln Life Variable Annuity Account N)
Form and Timing of Response. (a) Intermediary The Company agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above1.1. If requested by the Fund or its designee, Intermediary the Company agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 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 paragraph 1 1.1 for those shareholders who hold an account with an indirect intermediary or (ii) upon the Fund’s request, restrict or prohibit the indirect intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund.
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.Fund or its designee and the Company; and
(c) 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: Shareholder Information Agreement (Northwestern Mutual Variable Life Account), Shareholder Information Agreement (Northwestern Mutual Variable Life Account II)
Form and Timing of Response. (a) Intermediary The Company agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above. If requested by the Fund or its designee, Intermediary the Company agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 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 paragraph 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.
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) 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: Participation Agreement (Genworth Life & Annuity VA Separate Account 1), Participation Agreement (Genworth Life of New York VA Separate Account 1)
Form and Timing of Response. (a) Intermediary agrees Intermediaries agree to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 aboveParagraph 1. If requested by the Fund or its designee, Intermediary agrees Intermediaries agree to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph Paragraph 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 paragraph Paragraph 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.
. Intermediaries additionally agree to inform the Fund whether it plans to perform (bi) or (ii). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) Fund or its designee and the Intermediaries. 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: 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 or its designee, the requested information specified in paragraph 1 above2. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 2 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 paragraph 1 2 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.
. Intermediary additionally agrees to inform the Fund whether it plans to perform (bi) or (ii). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) Fund or its designee and the Intermediary. 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: Participation Agreement (Standard Insurance Co), Participation Agreement (Tiaa-Cref Life Separate Account Vli-1)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above. l.
a. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 l.a 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 paragraph 1 l.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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
; and (c) 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
Form and Timing of Response. (a) The Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above3.1. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 3.1 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 paragraph 1 3.1 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.
. The Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii). (b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) 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
Form and Timing of Response. (a) 1.2.1. Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 aboveSection 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 paragraph Section 1 is itself a financial intermediary (“indirect intermediary”) and, upon further request of the Fund or its designee, promptly either either
(i) provide (or arrange to have provided) the information set forth in paragraph Section 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) 1.2.2. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the partiesParties.
(c) 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 (C M Life Variable Life Separate Account I)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 aboveSection 2.0. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 Section 2.0 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 paragraph 1 Section 2.0 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.Fund or its designee and the Intermediary; and
(c) 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: Shareholder Information Agreement (Prudential Variable Contract Account Gi-2)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the a Fund or its designee, the requested information specified in paragraph 1 aboveB.1. If requested by the a Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 B.1 is itself a financial intermediary (“indirect intermediary”) and, upon further request of the a Fund or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in paragraph 1 B.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.
. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii). (b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) 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: Shareholder Information Agreement
Form and Timing of Response. (a) Intermediary Service Provider agrees to provide, promptly upon request of the a Fund or its designee, the requested information specified in paragraph 1 aboveSection 2.1. If requested by the a Fund or its designee, Intermediary Service Provider agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 Section 2.1 is itself a financial fmancial intermediary (“indirect 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 paragraph 1 Section 2.1 for those shareholders Shareholders who hold an account with an indirect intermediary Indirect Intermediary or (ii) restrict or prohibit the indirect intermediary Indirect Intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund.
. Service Provider additionally agrees to inform the Fund whether it plans to perform (i) or (ii). (b) Responses required by this paragraph Section 2.1.2 must be communicated in writing and in a format mutually agreed upon by the parties.
; and (c) To to the extent practicable, the format for any transaction information provided to the Fund should will be consistent with the NSCC Standardized Data Reporting Format.
Appears in 1 contract
Samples: Administrative Services Agreement (Aul American Unit Trust)
Form and Timing of Response. (a) 1.2.1. Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 aboveSection 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 paragraph Section 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 paragraph Section 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) 1.2.2. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the partiesParties.
(c) 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 1 contract
Samples: Participation Agreement (Horace Mann Life Insurance Co Separate Account)
Form and Timing of Response. (a) 1.2.1. Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 aboveSection 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 paragraph Section 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 paragraph Section 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) 1.2.2. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the partiesParties.
(c) 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 (Pacific Select Exec Separate Acct Pacific Life Ins)
Form and Timing of Response. (a) Intermediary Dealer agrees to provide, promptly upon request of the a Fund or its designee, the requested information specified in paragraph 1 1. above. If requested by the a Fund or its designee, Intermediary Dealer agrees to use best efforts to determine promptly whether any specific person RIA Customer about whom it has received the identification and transaction information specified in paragraph 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 such paragraph 1 1. for those shareholders who hold an account with an indirect intermediary or (ii) restrict or prohibit the indirect indirect- intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund.
. Dealer additionally agrees to inform the Fund whether it plans to perform (i) or (ii). (b) Responses required by this paragraph 1.2 must be communicated in writing and in a format mutually agreed upon by the parties.
; and (c) 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
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above1. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 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 paragraph 1 for those shareholders 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.Fund or its designee and the Intermediary; and
(c) 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: Shareholder Information Agreement (SBL Variable Annuity Account Xiv)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above1. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 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 paragraph 1 I for those shareholders Variable Insurance Product owners 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.Fund or its designee and the Intermediary; and
(c) 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: Shareholder Information Sharing Agreement (Transamerica Corporate Separate Account Sixteen)
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information Information specified in paragraph 1 above. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information Information specified in paragraph 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 Information set forth in paragraph 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.
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) To the extent practicable, the format for any transaction information Information provided to the Fund should be consistent with the NSCC Standardized Data Reporting Format
Appears in 1 contract
Samples: Information Sharing Agreement (PHL Variable Accumulation Account)
Form and Timing of Response. (ai) Intermediary Servicer agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 13(a) above. If requested by the Fund or its designee, Intermediary Servicer agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 13(a) is itself a financial intermediary (“indirect intermediary”) and, upon further request of the Fund or its designee, promptly either (ia) provide (or arrange to have provided) the information set forth in paragraph 1 13(a) for those shareholders who hold an account with an indirect intermediary or (iib) restrict or prohibit the indirect intermediary from purchasing, in nominee name on behalf of other persons, securities issued by the Fund. Servicer additionally agrees to inform the Fund whether it plans to perform (a) or (b).
(bii) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(ciii) 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
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 abovethis Section 1. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph Section 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 paragraph Section 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. Intermediary additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) To the extent practicable, the format for any transaction information provided to the Fund should be consistent with the NSCC Standardized Data Reporting Format; and
Appears in 1 contract
Form and Timing of Response. (a) Intermediary agrees to provide, promptly upon request of the Fund or its designee, the requested information specified in paragraph 1 above2. If requested by the Fund or its designee, Intermediary agrees to use best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph 1 2 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 paragraph 1 2 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.
. Intermediary additionally agrees to inform the Fund whether it plans to perform (bi) or (ii). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties.
(c) Fund or its designee and the Intermediary. 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
Form and Timing of Response. (a) Intermediary 1.2.1. ING agrees to provide, promptly upon request of the Fund or its designeeFund, the requested information specified in paragraph 1 aboveSection 1. If requested by the Fund or its designeeFund, Intermediary ING agrees to use best reasonable efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in paragraph Section 1 is itself a financial intermediary (“indirect intermediary”) and, upon further request of the Fund or its designeeFund, promptly either (i) provide (or arrange to have provided) the information set forth in paragraph Section 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. ING additionally agrees to inform the Fund whether it plans to perform (i) or (ii).
(b) 1.2.2. Responses required by this paragraph section must be communicated in writing and in a format mutually agreed upon by the parties.
(c) 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 1 contract