Common use of Form and Timing of Response Clause in Contracts

Form and Timing of Response. The Company agrees to provide, promptly upon request of the Underwriter, the requested information specified in this Section 2.13. The Company agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in this Section 2.13 is itself a “financial intermediary,” as that term is defined in Rule 22c-2 under the 1940 Act (an “Indirect Intermediary”) and, upon request of the Underwriter, promptly either (i) provide (or arrange to have provided) the information set forth in this Section 2.13 for those Contractholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing shares in nominee name on behalf of other persons. The Company additionally agrees to inform the Underwriter whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. To the extent practicable, the format for any Contractholder and transaction information provided to the Underwriter should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 48 contracts

Samples: Participation Agreement (Pimco Variable Insurance Trust), Participation Agreement (PIMCO Equity Series VIT), Participation Agreement (PIMCO Equity Series VIT)

AutoNDA by SimpleDocs

Form and Timing of Response. The Company agrees to provide, promptly upon request of the UnderwriterDistributor, the requested information specified in this Section 2.1312. 1. The Company agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in this Section 2.13 12.1 is itself a “financial intermediary,” as that term is defined in Rule 22c-2 under the 1940 Act (an “Indirect Intermediary”) and, upon request of the UnderwriterDistributor, promptly either (i) provide (or arrange to have provided) the information set forth in this Section 2.13 12.1 for those Contractholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing shares in nominee name on behalf of other persons. The Company additionally agrees to inform the Underwriter Distributor whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. To the extent practicable, the format for any Contractholder and transaction information provided to the Underwriter Distributor should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 17 contracts

Samples: Participation Agreement (Virtus Variable Insurance Trust), Participation Agreement (Virtus Variable Insurance Trust), Participation Agreement (New York Life Ins & Annuity Corp Var Univ Life Sep Acc I)

Form and Timing of Response. The Company agrees to provide, promptly upon request of the UnderwriterFund, the requested information specified in this Section 2.1314.1. The Company agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in this Section 2.13 section is itself a “financial intermediary,” as that term is defined in Rule 22c-2 under the 1940 Act (an “Indirect Intermediary”) and, upon request of the UnderwriterFund, promptly either (i) provide (or arrange to have provided) the information set forth in this Section 2.13 section for those Contractholders Contract Owners who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing shares in nominee name on behalf of other persons. The Company additionally agrees to inform the Underwriter Fund whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. To the extent practicable, the format for any Contractholder Contract Owner and transaction information provided to the Underwriter Fund should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 16 contracts

Samples: Fund Participation Agreement (PLAIC Variable Annuity Account S), Fund Participation Agreement (PLICO Variable Annuity Account S), Participation Agreement (Corporate Sponsored Vul Separate Account I)

Form and Timing of Response. The (1) Company agrees to provide, promptly upon request of the UnderwriterDistributor or its designee, the requested information specified in this Section 2.1313(a). The If requested by Distributor or its designee, Company agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in this Section 2.13 13(a) is itself a financial intermediary,” , as that term is defined in by Rule 22c-2 under the 1940 Act 22c-2, (an Indirect Intermediaryindirect intermediary”) and, upon further request of the UnderwriterDistributor or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in this Section 2.13 13(a) for those Contractholders shareholders who hold an account with an Indirect Intermediary indirect intermediary or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing shares purchasing, in nominee name on behalf of other persons, securities distributed by Distributor. The Company additionally agrees to inform the Underwriter Distributor whether it plans to perform (i) or (ii). (2) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. . (3) To the extent practicable, the format for any Contractholder and transaction information provided to the Underwriter Distributor should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 16 contracts

Samples: Selling Agreement (Axxes Opportunistic Credit Fund), Selling Agreement (Axxes Private Markets Fund), Selling Agreement (Chesapeake Investment Trust)

Form and Timing of Response. The Company agrees to provide, promptly upon request of the Underwriter, the requested information specified in this Section 2.13. The Company agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in this Section 2.13 is itself a "financial intermediary," as that term is defined in Rule 22c-2 under the 1940 Act (an "Indirect Intermediary") and, upon request of the Underwriter, promptly either (i) provide (or arrange to have provided) the information set forth in this Section 2.13 for those Contractholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing shares in nominee name on behalf of other persons. The Company additionally agrees to inform the Underwriter whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. To the extent practicable, the format for any Contractholder and transaction information provided to the Underwriter should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 4 contracts

Samples: Participation Agreement (Principal Life Insurance Co Variable Life Sep Account), Participation Agreement (Principal Life Insurance Co Variable Life Sep Account), Participation Agreement (Empire Fidelity Investments Variable Annuity Account A)

Form and Timing of Response. The Company agrees to provide, promptly upon request of the UnderwriterDistributor, the requested information specified in this Section 2.1313.1. The Company agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in this Section 2.13 13.1 is itself a “financial intermediary,” as that term is defined in Rule 22c-2 under the 1940 Act (an “Indirect Intermediary”) and, upon request of the UnderwriterDistributor, promptly either (i) provide (or arrange to have provided) the information set forth in this Section 2.13 13.1 for those Contractholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing shares in nominee name on behalf of other persons. The Company additionally agrees to inform the Underwriter Distributor whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. To the extent practicable, the format for any Contractholder and transaction information provided to the Underwriter Distributor should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 4 contracts

Samples: Participation Agreement (Virtus Variable Insurance Trust), Participation Agreement (Virtus Variable Insurance Trust), Participation Agreement (SBL Variable Annuity Account Xiv)

Form and Timing of Response. The Company agrees to provide, promptly upon request of the Underwriter, the requested information specified in this Section 2.13. The Company agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in this Section 2.13 is itself a “financial intermediary,” as that term is defined in Rule 22c-2 under the 1940 Act (an “Indirect Intermediary”) and, upon request of the Underwriter, promptly either (i) provide (or arrange to have provided) the information set forth in this Section 2.13 for those Contractholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing shares in nominee name on behalf of other persons. The Company additionally agrees to inform the Underwriter whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. To the extent practicable, the format for any Contractholder and transaction information provided to the Underwriter should be consistent with the NSCC Standardized Data Reporting FormatFormat or other mutually acceptable format.

Appears in 3 contracts

Samples: Participation Agreement (Mutual of America Separate Account No 2), Participation Agreement (Mutual of America Separate Account No 3), Participation Agreement (Mutual of America Separate Account No 2)

Form and Timing of Response. The Company Bank agrees to provide, promptly upon request of the UnderwriterFund Agent, the requested information specified in this Section 2.131. The Company If requested by Fund Agent, Bank 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 this Section 2.13 1 is itself a “financial intermediary,” as that term is defined in Rule 22c-2 under the 1940 Act (an “Indirect Intermediary”) and, upon further request of the UnderwriterFund Agent, promptly either (i) provide (or arrange to have provided) the information set forth in this Section 2.13 1 for those Contractholders Shareholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing shares purchasing, in nominee name on behalf of other persons, Shares. The Company Bank additionally agrees to inform the Underwriter Fund Agent whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the partiesBank and Fund Agent. To the extent practicable, the format for any Contractholder Shareholder and transaction information provided to the Underwriter Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 3 contracts

Samples: Bank Fund Services Agreement (Pimco Funds), Bank Fund Services Agreement (Pimco Funds), Bank Fund Services Agreement (Pimco Funds)

Form and Timing of Response. The Company agrees to provide, promptly upon request of the UnderwriterFund Agent, the requested information specified in this Section 2.13A. 1. The Company 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 this Section 2.13 A.1 is itself a "financial intermediary," as that term is defined in Rule 22c-2 under the 1940 Act (an "Indirect Intermediary") and, upon request of the UnderwriterFund Agent, promptly either (i) provide (or arrange to have provided) the information set forth in this Section 2.13 A.1 for those Contractholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing shares Shares in nominee name on behalf of other persons. The Company Intermediary additionally agrees to inform the Underwriter Fund Agent whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the partiesParties. To the extent practicable, the format for any Contractholder and transaction information provided to the Underwriter Fund Agent should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 2 contracts

Samples: Participation Agreement (SBL Variable Annuity Account Xi), Participation Agreement (SBL Variable Annuity Account Xiv)

Form and Timing of Response. The Company agrees to provide, promptly upon request of the UnderwriterDistributor, the requested information specified in this Section 2.1312. 1. The Company agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in this Section 2.13 12.1 is itself a "financial intermediary," as that term is defined in Rule 22c-2 under the 1940 Act (an "Indirect Intermediary") and, upon request of the UnderwriterDistributor, promptly either (i) provide (or arrange to have provided) the information set forth in this Section 2.13 12.1 for those Contractholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing shares in nominee name on behalf of other persons. The Company additionally agrees to inform the Underwriter Distributor whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. To the extent practicable, the format for any Contractholder and transaction information provided to the Underwriter Distributor should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 2 contracts

Samples: Participation Agreement (Lincoln New York Account N for Variable Annuities), Participation Agreement (Lincoln Life Variable Annuity Account N)

Form and Timing of Response. The Company agrees to provide, promptly upon request of the UnderwriterDistributor, the requested information specified in this Section 2.13I 2.1. The Company agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in this Section 2.13 12.1 is itself a “financial intermediary,” as that term is defined in Rule 22c-2 under the 1940 Act (an Indirect Intermediary”) and, upon request of the UnderwriterDistributor , promptly either (i) provide (or arrange to have provided) the information set forth in this Section 2.13 12.1 for those Contractholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing shares in nominee name on behalf of other persons. The Company additionally agrees to inform the Underwriter Distributor whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. To the extent practicable, the format for any Contractholder and transaction information provided to the Underwriter Distributor should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 1 contract

Samples: Participation Agreement (Guardian Separate Account R)

AutoNDA by SimpleDocs

Form and Timing of Response. (a) The Company Agent agrees to provide, promptly upon request of the UnderwriterCompany or its designee, the requested information specified in this Section 2.13. The 13.A. If requested by the Company or its designee, the Agent 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 this Section 2.13 13.A is itself a financial intermediary ("indirect intermediary,” as that term is defined in Rule 22c-2 under the 1940 Act (an “Indirect Intermediary”") and, upon further request of the UnderwriterCompany or its designee, promptly either (i) provide (or arrange to have provided) the information set forth in this Section 2.13 13.A for those Contractholders client-shareholders who hold an account with an Indirect Intermediary indirect intermediary or (ii) restrict or prohibit the Indirect Intermediary indirect intermediary from purchasing shares purchasing, in nominee name on behalf of other persons, securities issued by the Company. The Company Agent additionally agrees to inform the Underwriter Company whether it plans to perform (i) or (ii). (b) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. ; and (c) To the extent practicable, the format for any Contractholder and transaction information provided to the Underwriter Company should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 1 contract

Samples: Services Agreement (Needham Funds Inc)

Form and Timing of Response. The Company agrees to use its reasonable commercial efforts to provide, promptly upon request of the UnderwriterFund, the requested information specified in this Section 2.1314.1. The Company agrees to use its best reasonable commercial efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in this Section 2.13 section is itself a “financial intermediary,” as that term is defined in Rule 22c-2 under the 1940 Act (an “Indirect Intermediary”) and, upon request of the UnderwriterFund, to use its reasonable commercial efforts to promptly either (i) provide (or arrange to have provided) the information set forth in this Section 2.13 section for those Contractholders Contract Owners who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing shares in nominee name on behalf of other persons. The Company additionally agrees to inform the Underwriter Fund whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. To the extent practicable, the format for any Contractholder Contract Owner and transaction information provided to the Underwriter Fund should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 1 contract

Samples: Fund Participation Agreement (C M Life Variable Life Separate Account I)

Form and Timing of Response. The Company agrees to provide, promptly upon request of the Underwriter, the requested information specified in this Section 2.13. The Company agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in this Section 2.13 is itself a "financial intermediary," as that term is defined in Rule 22c-2 under the 1940 Act (an "Indirect Intermediary") and, upon request of the Underwriter, promptly either (i) provide (or arrange to have provided) the information set forth in this Section 2.13 for those Contractholders Contract owner(s) who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing shares in nominee name on behalf of other persons. The Company additionally agrees to inform the Underwriter whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. To the ------------------------------------------------------------------------------- extent practicable, the format for any Contractholder Contract owner(s) and transaction information provided to the Underwriter should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 1 contract

Samples: Participation Agreement (Forethought Life Insurance Co Separate Account A)

Form and Timing of Response. The Company agrees to provide, promptly upon request of the Underwriter, the requested information specified in this Section 2.1312. 1. The Company agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in this Section 2.13 12.1 is itself a “financial intermediary,” as that term is defined in Rule 22c-2 under the 1940 Act (an “Indirect Intermediary”) and, upon request of the UnderwriterTransfer Agent, promptly either (i) provide (or arrange to have provided) the information set forth in this Section 2.13 12.1 for those Contractholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing shares in nominee name on behalf of other persons. The Company additionally agrees to inform the Underwriter Transfer Agent whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. To the extent practicable, the format for any Contractholder and transaction information provided to the Underwriter Transfer Agent should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 1 contract

Samples: Participation Agreement (SBL Variable Annuity Account Xiv)

Form and Timing of Response. The Company agrees to provide, promptly upon request of the UnderwriterDistributor, the requested information specified in this Section 2.1312. 1. The Company agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in this Section 2.13 12.1 is itself a "financial intermediary," as that term is defined in Rule 22c-2 under the 1940 Act (an “Indirect an"Indirect Intermediary") and, upon request of the UnderwriterDistributor, promptly either (i) provide (or arrange to have provided) the information set forth in this Section 2.13 12.1 for those Contractholders who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing shares in nominee name on behalf of other persons. The Company additionally agrees to inform the Underwriter Distributor whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. To the extent practicable, the format for any Contractholder and transaction information provided to the Underwriter Distributor should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 1 contract

Samples: Participation Agreement (Virtus Variable Insurance Trust)

Form and Timing of Response. The Company agrees to provide, promptly upon request of the Underwriter, the requested information specified in this Section 2.13. The Company agrees to use its best efforts to determine promptly whether any specific person about whom it has received the identification and transaction information specified in this Section 2.13 is itself a “financial intermediary,” as that term is defined in Rule 22c-2 under the 1940 Act (an “Indirect Intermediary”) and, upon request of the Underwriter, promptly either (i) provide (or arrange to have provided) the information set forth in this Section 2.13 for those Contractholders Contract owners who hold an account with an Indirect Intermediary or (ii) restrict or prohibit the Indirect Intermediary from purchasing shares in nominee name on behalf of other persons. The Company additionally agrees to inform the Underwriter whether it plans to perform (i) or (ii) above. Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. To the extent practicable, the format for any Contractholder Contract owner and transaction information provided to the Underwriter should be consistent with the NSCC Standardized Data Reporting Format.

Appears in 1 contract

Samples: Participation Agreement (Guardian Separate Acct N of the Guardian Ins & Annuity Co)

Draft better contracts in just 5 minutes Get the weekly Law Insider newsletter packed with expert videos, webinars, ebooks, and more!