Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the Regulations and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 17 contracts
Samples: Distribution Agreement (ALAC Separate Account 1), Distribution Agreement (Annuity Investors Variable Account C), Distribution Agreement (Kansas City Life Variable Life Separate Account)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the Regulations regulations thereunder and the rules and regulations of the NASD, from time to time in effect, including such the conditions of any exemptions from the 1940 Act therefrom as the SEC or NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 15 contracts
Samples: Distribution Agreement (State Farm Life Insurance Co Variable Annuity Separate Act), Distribution Agreement (Country Investors Variable Annuity Account), Distribution Agreement (Country Investors Variable Life Account)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the Regulations Securities Exchange Act and the rules, regulations, and rulings thereunder and of the applicable rules and regulations of the NASD, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 14 contracts
Samples: Distribution Agreement (Pruco Life Variable Contract Real Property Account), Distribution Agreement (Pruco Life of New Jersey Variable Contract Real Property Acc), Distribution Agreement (Prudential Variable Contract Real Property Account)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and Act, the 1940 Act and the Regulations Regulations, NASD Rules and the rules state laws and regulations of the NASDregulations, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 14 contracts
Samples: Distribution Agreement (Nationwide Provident Vli Separate Account 1), Distribution Agreement (Nationwide Provident Vli Separate Account 1), Distribution Agreement (Nationwide Provident Vli Separate Account 1)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the Regulations Securities Exchange Act of the rules, regulations, and rulings thereunder and of the applicable rules and regulations of the NASD, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 13 contracts
Samples: Distribution Agreement (Prudential Variable Contract Account Gi-2), Distribution Agreement (Pruco Life Variable Universal Account), Distribution Agreement (Prudential Variable Appreciable Account)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, the 1934 Act Act, and the 1940 Act and the Regulations rules, regulation, and the rules rulings thereunder, and regulations of the NASD, as in effect from time to time in effecttime, including such exemptions from the 1940 Act and other relief as the SEC SEC, its staff, or the NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 12 contracts
Samples: Distribution Agreement (Citicorp Life Variable Annuity Separate Account), Distribution Agreement (First Citicorp Life Variable Annuity Separate Account), Distribution Agreement (Travelers Fund Ul for Variable Life Insurance)
Regulation. This Agreement shall be subject to the provisions of the 1933 1940 Act, 1934 Act and 1940 the 1933 Act and the Regulations Securities Exchange Act and the rules, regulations and rulings thereunder, and of the applicable rules and regulations of the NASD, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the . The terms hereof of this Agreement shall be interpreted and construed in accordance therewith.
Appears in 9 contracts
Samples: Underwriting Agreement (Mony Series Fund Inc), Underwriting Agreement (Mony Series Fund Inc), Underwriting Agreement (Mony Series Fund Inc)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and the 1940 Act and the Regulations Securities Exchange Act and the rules, regulations and rulings promulgated thereunder and of the applicable rules and regulations of the NASD, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 9 contracts
Samples: Distribution Agreement (Thrivent Variable Annuity Account I), Principal Underwriting Agreement (Thrivent Variable Life Account I), Principal Underwriting Agreement (Thrivent Variable Annuity Account I)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the Regulations Securities Exchange Act and the rules, regulations and rulings thereunder, and of the applicable rules and regulations of the NASD, and applicable state insurance law and other applicable law, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 9 contracts
Samples: Distribution Agreement (Southland Separate Account L1), Distribution Agreement (Pacific Select Exec Separate Acct Pacific Life Ins), Distribution Agreement (Security Life Separate Account A1)
Regulation. This Agreement agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the Regulations 1934 Act and the rules, regulations and rulings thereunder, and of the applicable rules and regulations of the NASD, and applicable state insurance and securities laws, and other applicable laws, as may be in effect from time to time in effect, including such exemptions from the 1940 Act as the SEC may granttime, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 9 contracts
Samples: Distribution Agreement (Reliastar Life Ins Co of New York Var Life Sep Acct I), Distribution Agreement (Southland Separate Account L1), Distribution Agreement (Reliastar Life Ins Co of New York Var Life Sep Acct I)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the Regulations 1934 Act and the rules, regulations and rulings thereunder, and of the applicable rules and regulations of the NASD, and applicable state insurance law and other applicable law, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 8 contracts
Samples: Distribution Agreement (Select Life Variable Account), Distribution Agreement (Pacific Corinthian Var Sep Acct of Pacific Corinthian Life I), Distribution Agreement (Reliastar Bankers Security Life Insurance Co)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and the 1940 Act and the Regulations and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 6 contracts
Samples: Underwriting Agreement (Equitrust Life Variable Account), Underwriting Agreement (Equitrust Life Variable Account Ii), Underwriting Agreement (American Equity Life Variable Account)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act Act, and 1940 Act and the Regulations regulations thereunder and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 6 contracts
Samples: Distribution Agreement (Modern Woodmen of America Variable Annuity Account), Distribution Agreement (American Family Variable Account I), Distribution Agreement (American Family Variable Account Ii)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the Regulations and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof of this Agreement shall be interpreted and construed in accordance therewith. Without limiting the generality of the foregoing, the term "assigned" shall not include any transaction exempted from Section 15(b)(2) of the 1940 Act.
Appears in 5 contracts
Samples: Wholesaling Agreement (Fulcrum Separate Account of Allmerica Fin Life Ins & Ann Co), Wholesaling Agreement (Fulcrum Separate Account of First Allmerica Fin Life Ins Co), Wholesaling Agreement (Separate Account Va-K of Allmerican Fn Lf Ins & an Co)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the Regulations Exchange Act and the rules, regulations, and rulings thereunder and of the applicable rules and regulations of the NASD, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 5 contracts
Samples: Distribution Agreement (Pruco Life Insurance Co), Distribution Agreement (Prudential Individual Variable Contract Account), Distribution Agreement (Pruco Life Insurance of New Jersey)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the Regulations and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof of this Agreement shall be interpreted and construed in accordance therewith.
Appears in 5 contracts
Samples: Wholesaling Agreement (Separate Account Kg of First Allmerica Fin Life Ins Co), Wholesaling Agreement (Separate Account Kg of Allmerica Fin Life Ins & Annuity Co), Wholesaling Agreement (Separate Account KGC of Allmerica Fin Life Ins & Annuity Co)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the Regulations regulations thereunder, and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 4 contracts
Samples: Underwriting Agreement (Continental Assurance Co Separate Account B), Underwriting Agreement (Continental Assurance Co Variable Life Separate Account), Underwriting Agreement (Valley Forge Life Insurance Co Variable Life Separate Accoun)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, the 1934 Act Act, and the 1940 Act and the Regulations rules, regulation, and the rules rulings thereunder, and regulations of the NASD, as in effect from time to time in effecttime, including such exemptions from the 1940 Act and other relief as the SEC may grantSEC, and the terms hereof shall be interpreted and construed in accordance therewith.its
Appears in 4 contracts
Samples: Distribution Agreement (Travelers Separate Account Eight for Variable Annuities), Distribution Agreement (Travelers Separate Account Six for Variable Annuities), Distribution Agreement (Travelers Separate Account Seven for Variable Annuities)
Regulation. This Agreement shall be subject to the any applicable provisions of the 1933 Act, 1934 Act and 1940 Act and the Regulations Securities Exchange Act of the rules, regulations, and rulings thereunder and of the applicable rules and regulations of the NASD, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 4 contracts
Samples: Distribution Agreement (Pruco Life Variable Universal Account), Distribution Agreement (Pruco Life Variable Universal Account), Distribution Agreement (Pruco Life Variable Appreciable Account)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, the 1934 Act and the 1940 Act and the Regulations rules, regulations, and the rules rulings thereunder and regulations of the NASD, from time to time in effect, including such any exemptions from the 1940 Act as the SEC may grantgrant therefrom, as well as the NASD Conduct Rules, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 2 contracts
Samples: Distribution Agreement (NML Variable Annuity Account A), Distribution Agreement (Northwestern Mutual Variable Life Account II)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the Regulations 1934 Act and the rules, regulations and rulings thereunder, and of the applicable rules and regulations of the NASDNASD and applicable state insurance law and other applicable law, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 2 contracts
Samples: Distribution and Administrative Services Agreement (Separate Account N of Reliastar Life), Distribution and Administrative Services Agreement (Separate Account One of Northern Life Insurance Co)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and Act, the 1940 Act and the Regulations Regulations, and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 2 contracts
Samples: Distribution Agreement (Farmers Annuity Separate Account A), Distribution Agreement (Farmers Annuity Separate Account A)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the Regulations regulations thereunder and the rules and regulations of the NASDNASD and SEC, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 1 contract
Samples: Distribution Agreement (Farmers Annuity Separate Account A)
Regulation. This Agreement shall be subject to the all applicable provisions ---------- of state law and to the 1933 Act, ; 1934 Act and Act; 1940 Act Act; and the Regulations and the rules and regulations of the NASD, from time to time in effect, ; including such exemptions from the 1940 Act as the SEC may grant, and the . The terms hereof of this Agreement shall be interpreted and construed in accordance therewith.
Appears in 1 contract
Samples: Broker Dealer Agreement (Lincoln Life Variable Annuity Account T)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the Regulations Securities Exchange Act and the rules, regulations, and rulings therunder and of the applicable rules and regulations of the NASD, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 1 contract
Samples: Distribution Agreement (Pruco Life Insurance Co Single Premium Variable Life Account)
Regulation. This Agreement agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the Regulations 1934 Act and the rules, regulations and rulings thereunder, and of the applicable rules and regulations of the NASD, and applicable state insurance law and other applicable law, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 1 contract
Samples: Distribution Agreement (Reliastar Life Insur Co of Ny Var Annuity Separate Acct Ii)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the Regulations regulations thereunder and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.. \\\ \\\ \\\
Appears in 1 contract
Samples: Distribution Agreement (Farmers Annuity Separate Account A)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and 1940 Act and the Regulations 1934 Act and the rules, regulations and rulings thereunder, and of the applicable rules and regulations of the NASD, and applicable state insurance and securities laws, and other applicable laws, as may be in effect from time to time in effect, including such exemptions from the 1940 Act as the SEC may granttime, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 1 contract
Samples: Distribution Agreement (Reliastar Life Ins Co of New York Var Life Sep Acct I)
Regulation. This Agreement shall be subject to the provisions of the ----------- 1933 Act, 1934 Act and 1940 Act and the Regulations regulations thereunder and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
Appears in 1 contract
Samples: Distribution Agreement (State Farm Life Insurance Co Variable Annuity Separate Act)
Regulation. (a) This Agreement shall be subject to the provisions of the 1933 1940 Act, the 1934 Act and 1940 Act the rules, regulation, and the Regulations rulings thereunder, and the rules and regulations of the NASD, as in effect from time to time in effecttime, including such exemptions from the 1940 Act and other relief as the SEC Commission, its staff, or the NASD may grant, and the terms hereof shall be interpreted and construed in accordance therewith.accordance
Appears in 1 contract
Samples: Distribution Agreement (Tiaa Cref Institutional Mutual Funds)
Regulation. This Agreement shall be subject to the provisions of the 1933 Act, 1934 Act and the 1940 Act and the Regulations and the rules and regulations of the NASD, from time to time in effect, including such exemptions from the 1940 Act as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.. [The remainder of this page intentionally left blank]
Appears in 1 contract
Samples: Underwriting Agreement (Southern Farm Bureau Life Variable Account)
Regulation. This Agreement shall be subject to the all applicable provisions of state law and to the 1933 Act, ; 1934 Act and Act; 1940 Act Act; and the Regulations and the rules and regulations of the NASD, from time to time in effect, ; including such exemptions from the 1940 Act as the SEC may grant, and the . The terms hereof of this Agreement shall be interpreted and construed in accordance therewith.
Appears in 1 contract
Samples: Brokerage Agreement (Lincoln New York Separate Account T for Variable Annuities)
