Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the Underwriter, each piece of sales literature or other promotional material in which the Trust or the Underwriter is named, at least five Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five Business Days after receipt of such material. 4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the Trust, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the Trust. 4.3. The Trust or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named at least five Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt of such material. 4.4. The Trust and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company. 4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities. 4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities. 4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 21 contracts
Samples: Participation Agreement (Variable Account a of Keyport Benefit Life Insurance Co), Participation Agreement (Sun Life of Canada U S Variable Account G), Participation Agreement (Variable Account a/Ma)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the Underwriter, each piece of sales literature or other promotional material in which the Trust or the Underwriter is named, at least five Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the Trust, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the Trust.
4.3. The Trust or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named at least five Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.4. The Trust and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e.I.E., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 14 contracts
Samples: Participation Agreement (SBL Variable Annuity Account Xiv), Participation Agreement (SBL Variable Annuity Account Xiv), Participation Agreement (SBL Variable Annuity Account Xiv)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterFund or its designee, each piece of sales literature or other promotional material in which the Trust Fund or the Underwriter Adviser(s) is named, at least five ten Business Days prior to its use. No such material shall be used if the Trust Fund or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustFund shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the TrustFund, or in sales literature or other promotional material approved by the Trust Fund or its designee, except with the permission of the TrustFund.
4.3. The Trust Fund or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are is named at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust Fund and the Underwriter Advisers shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Fund or its shares, contemporaneously with which are relevant to the filing of such document with Company or the Securities and Exchange Commission or other regulatory authoritiesContracts.
4.6. The Company will provide to the Trust Fund at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust Fund under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust Fund or any affiliate of the TrustFund: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 13 contracts
Samples: Participation Agreement (United Companies Separate Account One), Fund Participation Agreement (Northbrook Variable Annuity Account Ii), Participation Agreement (Allstate Life of New York Separate Account A)
Sales Material and Information. 4.1. 4.1 The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust or its designee, a copy of each piece of sales literature or other promotional material that the Company develops or proposes to use and in which the Trust (or a Portfolio thereof) or the Underwriter Distributor is namednamed in connection with the Contracts, at least five ten (10) Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.2. 4.2 The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement statement, including the prospectus or prospectus SAI for the TrustTrust shares, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, Distributor except with the permission of the TrustTrust or Distributor.
4.3. 4.3 The Trust or its designee the Distributor shall furnish, or shall cause to be furnished, to the Company or its designeeCompany, a copy of each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are is named at least five ten (10) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.4. 4.4 The Trust and or the Underwriter Distributor shall not give any information or make any representations on behalf of the Company or concerning the Company, each the Account, or the Contracts, Contracts other than the information or representations contained in a registration statement statement, including the prospectus or prospectus SAI for the Contracts, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. 4.5 The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statementsSAIs, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with Designated Portfolio(s) within a reasonable period of time following the filing of such document document(s) with the Securities and Exchange Commission SEC or NASD or other regulatory authorities.
4.6. 4.6 The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional informationSAIs, reports, solicitations for voting instructionsInstructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and all amendments to any of the above, that relate to the investment in Contracts or the Trust under Account, if requested by the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authoritiesCompany.
4.7. 4.7 For purposes of this Article IVArticles IV and VIII, the phrase "“sales literature or and other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements :
a) Advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media; e.g., on-line networks such as the Internet or other electronic media), sales .
b) Sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational .
c) Educational or training materials or other communications distributed or made generally available to some or all agents or employees.
d) Shareholder reports.
e) Proxy materials (including solicitations for voting instructions).
f) Any other material constituting sales literature or advertising under the NASD rules, the 1933 Act or the 0000 Xxx.
4.8 At the request of any party to this Agreement, each other party will make available to the other party’s independent auditors and/or representative of the appropriate regulatory agencies, all records, data and registration statements, prospectuses, statements of additional information, shareholder reports, access to operating procedures that may be reasonably requested in connection with compliance and proxy materialsregulatory requirements related to this Agreement or any party’s obligations under this Agreement.
Appears in 12 contracts
Samples: Fund Participation Agreement (Ing Investors Trust), Fund Participation Agreement (Ing Investors Trust), Fund Participation Agreement (Ing Investors Trust)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust, the Advisers or their designee, drafts of the separate accounts prospectuses and statements of additional information and each piece of sales literature or other promotional material prepared by the Company or any person contracting with the Company to prepare such material in which the Trust Trust, the Advisers or the Underwriter Administrator is nameddescribed, at least five ten Business Days prior to its use. No such material shall be used if the Trust Trust, the Advisers, the Administrator or its their designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Neither the Company nor any person contracting with the Company to prepare sales literature or other promotional material shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust prospectus, as such registration statement and or Trust prospectus may be amended or supplemented from time to time, or in reports to shareholders or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designee.
4.3. The Trust or its designee Administrator shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material prepared by the Trust in which the Company or its separate account(s) or Contracts Accounts, are named described at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust and Neither the Underwriter Trust, the Administrator, nor the Advisers shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and or prospectus may be amended or supplemented from time to time, or in published reports or solicitations for voting instruction for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company Company, upon its request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with promptly after the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Trust, upon the Trust's request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contractsan Account or Contract, contemporaneously prior to with the filing of such document documents with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV4, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trustfollowing: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, internet, telephone or tape recording, videotape videotape, display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), and educational or training materials or other communications distributed or made generally available to some or all agents or employees, .
4.8. The Company and registration statements, prospectuses, statements its agents shall make no representations concerning the Trust except those contained in the then-current prospectus and statement of additional information, shareholder reports, information of the Trust and proxy materialsin current printed sales literature of the Trust.
Appears in 11 contracts
Samples: Fund Participation Agreement (Allianz Life of Ny Variable Account C), Fund Participation Agreement (Allianz Life Variable Account B), Fund Participation Agreement (Jpmorgan Insurance Trust)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterFund or its designee, each piece of sales literature or other promotional material in which the Trust Fund or its investment adviser or the Underwriter is named, at least five fifteen Business Days prior to its use. No such material shall be used if the Trust Fund or its designee reasonably objects to such use within five fifteen Business Days after receipt of such material. The Fund or its designee will use reasonable efforts to review materials within a shorter time period if the Company makes a request for expedited review in a letter accompanying such materials.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustFund shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the TrustFund, or in sales literature or other promotional material approved by the Trust Fund or its designeedesignee or by the Underwriter, except with the permission of the TrustFund or the Underwriter or the designee of either.
4.3. The Trust Fund, Underwriter, or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are ), is named at least five fifteen Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five fifteen Business Days after receipt of such material.
4.4. The Trust Fund and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, Contracts other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements Statements of additional informationAdditional Information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Fund or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Fund at least one complete copy of all registration statements, prospectuses, statements Statements of additional informationAdditional Information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the ContractsContracts or each Account, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust Fund or any affiliate of the TrustFund: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements Statements of additional informationAdditional Information, shareholder reports, and proxy materials.
Appears in 8 contracts
Samples: Participation Agreement (Ge Capital Life Separate Account Ii), Participation Agreement (Life of Virginia Separate Account 4), Participation Agreement (Life of Virginia Separate Account Ii)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust, the Adviser or their designee, drafts of the separate accounts prospectuses and statements of additional information and each piece of sales literature or other promotional material prepared by the Company or any person contracting with the Company to prepare such material in which the Trust Trust, the Adviser or the Underwriter Administrator is nameddescribed, at least five ten Business Days prior to its use. No such material shall be used if the Trust Trust, the Adviser, the Administrator or its their designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Neither the Company nor any person contracting with the Company to prepare sales literature or other promotional material shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust prospectus, as such registration statement and or Trust prospectus may be amended or supplemented from time to time, or in reports to shareholders or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designee.
4.3. The Trust or its designee Administrator shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material prepared by the Trust in which the Company or its separate account(s) or Contracts Accounts, are named described at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust and Neither the Underwriter Trust, the Administrator, nor the Adviser shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and or prospectus may be amended or supplemented from time to time, or in published reports or solicitations for voting instruction for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company Company, upon its request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with promptly after the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Trust, upon the Trust's request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contractsan Account or Contract, contemporaneously prior to with the filing of such document documents with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV4, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trustfollowing: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, internet, telephone or tape recording, videotape videotape, display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), and educational or training materials or other communications distributed or made generally available to some or all agents or employees, .
4.8. The Company and registration statements, prospectuses, statements its agents shall make no representations concerning the Trust except those contained in the then-current prospectus and statement of additional information, shareholder reports, information of the Trust and proxy materialsin current printed sales literature of the Trust.
Appears in 7 contracts
Samples: Fund Participation Agreement (Pruco Life Inurance Co of New Jersey FLXBL Prmium Var Ann Ac), Fund Participation Agreement (Pruco Life Flexible Premium Variable Annuity Account), Fund Participation Agreement (Pruco Life Variable Universal Account)
Sales Material and Information. 4.1. 4.1 The Company shall furnish, or shall cause to be furnished, to the UnderwriterInvestment Company or its designee, each piece of sales literature or other promotional material material, or component thereof, in which the Trust Investment Company, the Adviser, or the Underwriter is named, at least five fifteen Business Days prior to its use. No such material shall be used if the Trust Investment Company or its designee reasonably objects object to such use within five fifteen Business Days after receipt of such material. Once any such material has been so furnished to the Investment Company or its designee and fifteen Business days have elapsed, such materials need not again be so furnished absent any subsequent changes to such material that affect the materials' discussion or presentation relating to the Investment Company, its advisor, the Underwriter, or any of their affiliates (other than the Company or persons that are deemed affiliates only by virtue of being controlled by the Company). In particular, materials that have been changed merely to update performance or financial information need not be so furnished.
4.2. 4.2 The Company shall not give any information or make any representations or statements on behalf of the Trust Investment Company or concerning the Trust Investment Company in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustInvestment Company shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the TrustInvestment Company, or in sales literature or other promotional material approved by the Trust Investment Company or its designeedesignee or by the Underwriter, except with the permission of the TrustInvestment Company or the Underwriter or the designee of either.
4.3. 4.3 The Trust Investment Company, the Underwriter, or its designee their designees shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material material, or component thereof, in which the Company or its separate account(s) or Contracts Accounts are named at least five fifteen Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five fifteen Business Days after receipt of such material.
4.4. 4.4 The Trust Investment Company and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, Contracts other than the information or representations contained in a registration statement statement, prospectus or prospectus offering materials for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. 4.5 The Trust Investment Company will provide to the Company at least one complete copy of all registration statements, prospectuses, statements Statements of additional informationAdditional Information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Investment Company or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. 4.6 The Company will provide to the Trust Investment Company at least one complete copy of all registration statements, prospectuses, statements Statements of additional informationAdditional Information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and all amendments to any of the above, that relate to the investment in the Trust under the ContractsContracts or each Account, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities. In the case of unregistered Contracts, in lieu of providing prospectuses and Statements of Additional Information, the Company shall provide the Investment Company with one complete copy of the offering materials for the Contracts.
4.7. 4.7 For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, electronic media, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements Statements of additional informationAdditional Information, shareholder reports, and proxy materials.
Appears in 7 contracts
Samples: Participation Agreement (NML Variable Annuity Acct C of Northwestern Mut Life Ins Co), Participation Agreement (Northwestern Mutual Variable Life Account), Participation Agreement (Northwestern Mutual Variable Life Account)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterFund or its designee, each piece of sales literature or other promotional material in which the Trust Fund or the Underwriter Adviser(s) is named, at least five fifteen Business Days prior to its use. No such material shall be used if the Trust Fund or its designee reasonably objects to such use within five fifteen Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the sale of the Contracts Variable Products other than the information or representations contained in the registration statement or prospectus for the TrustFund shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the TrustFund, or in sales literature or other promotional material approved by the Trust Fund or its designee, except with the permission of the TrustFund.
4.3. The Trust Fund or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are is named at least five fifteen Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five fifteen Business Days after receipt of such material.
4.4. The Trust Fund and the Underwriter Adviser shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the ContractsVariable Products, other than the information or representations contained in a registration statement statement, prospectus or prospectus private placement memorandum for the ContractsVariable Products, as such registration statement statement, prospectus and prospectus private placement memorandum may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Fund or its shares, contemporaneously with which are relevant to the filing of such document with Company or the Securities and Exchange Commission or other regulatory authoritiesVariable Products.
4.6. The Company will provide to the Trust Fund at least one complete copy of all registration statements, prospectuses, statements of additional information, private placement memorandums, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust Fund under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authoritiesVariable Products.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust Fund or any affiliate of the TrustFund: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally ---- available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, private placement memorandums, shareholder reports, and proxy materials.
Appears in 6 contracts
Samples: Participation Agreement (Allmerica Investment Trust), Participation Agreement (Allmerica Investment Trust), Participation Agreement (Allmerica Investment Trust)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust, the Advisers or their designee, drafts of the separate accounts prospectuses and statements of additional information and each piece of sales literature or other promotional material prepared by the Company or any person contracting with the Company to prepare such material in which the Trust Trust, the Advisers or the Underwriter Administrator is nameddescribed, at least five ten Business Days prior to its use. No such material shall be used if the Trust Trust, the Advisers, the Administrator or its their designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Neither the Company nor any person contracting with the Company to prepare sales literature or other promotional material shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust prospectus, as such registration statement and or Trust prospectus may be amended or supplemented from time to time, or in reports to shareholders or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designee.
4.3. The Trust or its designee Administrator shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material prepared by the Trust in which the Company or its separate account(s) or Contracts Accounts, are named described at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust and Neither the Underwriter Trust, the Administrator, nor the Advisers shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and or prospectus may be amended or supplemented from time to time, or in published reports or solicitations for voting instruction for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company Company, upon its request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with promptly after the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Trust, upon the Trust’s request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contractsan Account or Contract, contemporaneously prior to with the filing of such document documents with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV4, the phrase "“sales literature or other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trustfollowing: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, internet, telephone or tape recording, videotape videotape, display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), and educational or training materials or other communications distributed or made generally available to some or all agents or employees, .
4.8. The Company and registration statements, prospectuses, statements its agents shall make no representations concerning the Trust except those contained in the then-current prospectus and statement of additional information, shareholder reports, information of the Trust and proxy materialsin current printed sales literature of the Trust.
Appears in 5 contracts
Samples: Fund Participation Agreement (Jpmorgan Insurance Trust), Fund Participation Agreement (Separate Account I of Integrity Life Insurance Co), Fund Participation Agreement (Separate Account I of National Integrity Life Ins Co)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust, the Advisers or their designee, drafts of any language related to the Trust Portfolio(s) used in the prospectus, each piece of sales literature or other promotional material prepared by the Company or any person contracting with the Company to prepare such material in which the Trust Trust, the Advisers or the Underwriter Administrator is nameddescribed, at least five ten Business Days prior to its use. No such material shall be used if the Trust Trust, the Advisers, the Administrator or its their designee reasonably objects to such use within five Business Days after receipt of such material.. [Great West Life Are the prospectuses and SAIs deleted because the JPMIT Funds are not named or described in them?]
4.2. The Neither the Company nor any person contracting with the Company to prepare sales literature or other promotional material shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust prospectus, as such registration statement and or Trust prospectus may be amended or supplemented from time to time, or in reports to shareholders or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designee.
4.3. The Trust or its designee Administrator shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material prepared by the Trust in which the Company or its separate account(s) or Contracts Accounts, are named described at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.4. The Trust and Neither the Underwriter Trust, the Administrator, nor the Advisers shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and or prospectus may be amended or supplemented from time to time, or in published reports or solicitations for voting instruction for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company Company, upon its request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with promptly after the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Trust, upon the Trust's request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contractsan Account or Contract, contemporaneously with promptly after the filing of such document documents with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV4, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trustfollowing: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, internet, telephone or tape recording, videotape videotape, display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), and educational or training materials or other communications distributed or made generally available to some or all agents or employees, .
4.8. The Company and registration statements, prospectuses, statements its agents shall make no representations concerning the Trust except those contained in the then-current prospectus and statement of additional information, shareholder reports, information of the Trust and proxy materialsin current printed sales literature of the Trust.
Appears in 4 contracts
Samples: Fund Participation Agreement (Variable Annuity-2 Series Account), Fund Participation Agreement (Variable Annuity-2 Series Account), Fund Participation Agreement (Variable Annuity-2 Series Account)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterUnderwriter or its designee, each piece of sales literature or other promotional material in which the Trust any Fund or its investment adviser or the Underwriter is named, at least five fifteen Business Days prior to its use. No such material shall be used if the Trust Underwriter or its designee reasonably objects to such use within five fifteen Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust any Fund or concerning the Trust any Fund in connection with the sale of the Contracts and Certificates other than the information or representations contained in the registration statement or prospectus for the Trustsuch Fund shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trustsuch Fund, or in sales literature or other promotional material approved by the Trust Underwriter or its designee, except with the permission of the TrustUnderwriter or its designee.
4.3. Sales literature in which any Fund or its investment advisor is named shall be submitted to the SEC or NASD for review as required by applicable law. Copies of any comments received shall be sent to the Underwriter or its designee.
4.4. The Trust Underwriter or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named any Account is named, at least five fifteen Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five fifteen Business Days after receipt of such material.
4.44.5. The Trust and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each any Account, the Contracts or the Contracts, Certificates other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.54.6. The Trust Company will provide to the Company Underwriter at least one complete copy of all registration statements, prospectuses, statements Statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional informationAdditional Information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the ContractsContracts or any Account, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e.I.E., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or .or all agents or employees, and registration statements, prospectuses, statements Statements of additional informationAdditional Information, shareholder reports, and proxy materials.
Appears in 4 contracts
Samples: Participation Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co), Participation Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co), Participation Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust, the Adviser or their designee, drafts of the separate accounts prospectuses and statements of additional information and each piece of sales literature or other promotional material prepared by the Company or any person contracting with the Company to prepare such material in which the Trust Trust, the Adviser or the Underwriter Administrator is nameddescribed, at least five ten Business Days prior to its use. No such material shall be used if the Trust Trust, the Adviser, the Administrator or its their designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Neither the Company nor any person contracting with the Company to prepare sales literature or other promotional material shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust prospectus, as such registration statement and or Trust prospectus may be amended or supplemented from time to time, or in reports to shareholders or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designee.
4.3. The Trust or its designee Adviser shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material prepared by the Trust in which the Company or its separate account(s) or Contracts Accounts, are named described at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust and Neither the Underwriter Trust, the Administrator, the Transfer Agent, nor the Adviser shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and or prospectus may be amended or supplemented from time to time, or in published reports or solicitations for voting instruction for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with promptly after the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Trust, upon the Trust's request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contractsan Account or Contract, contemporaneously with the filing of such document documents with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV4, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trustfollowing: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape videotape, display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), and educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 3 contracts
Samples: Fund Participation Agreement (PFL Retirement Builder Variable Annuity Account), Fund Participation Agreement (Ag Separate Account A), Fund Participation Agreement (One Group Investment Trust)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the Underwriter, each piece of sales literature or other promotional material in which the Trust or the Underwriter is named, at least five Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Company American General shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with its receipt of net premiums in connection with the sale of the American General Contracts other than the information or representations contained in or accurately derived from the registration statement Registration Statement, prospectus or prospectus Statement of Additional Information for the Trust, as such registration statement and Registration Statement, prospectus or Statement of Additional Information may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designees.
4.34.2. The Trust or its designee the Distributors, or their respective designees, shall furnish, or shall cause to be furnished, to the Company American General or its designeedesignees, the form of each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are American General is named at least five Business Days prior to its use. No such material shall be used if the Company American General or its designee designees reasonably objects object to such its use within five Business Days after receipt of such material.
4.44.3. The Trust and the Underwriter Distributors shall not give any information or make any representations on behalf of the Company American General or concerning American General, the Company, each Account, or the Contracts, American General Contracts other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented accurately derived from time to time, or in published reports for each the Account which are in the public domain or approved by the Company American General for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designeeContractowners, except with the permission of the CompanyAmerican General.
4.54.4. The Trust will shall provide to the Company American General at least one complete copy of all registration statementsRegistration Statements, prospectuses, statements Statements of additional informationAdditional Information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC, the NASD, or other regulatory authorities.
4.64.5. The Company will American General shall provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and all amendments to any of the above, that relate to the investment in American General Contracts or the Trust under Account if such document also relates to the ContractsTrust, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC, the NASD, or other regulatory authorities.
4.74.6. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, including materials published or designed for use in, in a newspaper, magazine, or other periodical, radio, television, telephone or tape or electronic recording, videotape display, signs or billboards, motion pictures, electronic messages or communications or other public media, including a publicly available internet address or website), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published articlearticle or internet site or website), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements Statements of additional informationAdditional Information, shareholder reports, and proxy materials. However, it is anticipated that materials provided solely: (a) internally to American General's or a Distributor's own employees or counsel; or (b) to certain designated third parties and that are not designed to be provided or communicated in any manner to the general public (e.g., training materials provided to distributors or agents) will not be filed with the SEC, the NASD, or any state securities or insurance regulatory authorities, although such materials will be prepared in accordance with applicable laws.
Appears in 3 contracts
Samples: Participation Agreement (Agl Separate Account Vul), Participation Agreement (Axa Premier Vip Trust), Participation Agreement (Agl Separate Account Vul)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the Underwriter, each piece of sales literature or other promotional material in which the Trust Fund or the Underwriter is named, at least five Business Days prior to its use. No such material shall be used if the Trust Fund or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement statements or prospectus prospectuses for the TrustFund, as such registration statement statements and prospectus prospectuses may be amended or supplemented from time to time, or in reports or proxy statements for the TrustFund, or in sales literature or other promotional material approved by the Trust Fund or its designee, except with the permission of the TrustFund.
4.3. The Trust Fund or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named at least five Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.4. The Trust Fund and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Upon request, the Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Fund or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Upon request, the Company will provide to the Trust Fund at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust Fund under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust Fund or any affiliate of the TrustFund: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 3 contracts
Samples: Participation Agreement (SBL Variable Annuity Account Xiv), Participation Agreement (SBL Variable Annuity Account Xi), Participation Agreement (Variable Annuity Account B)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterFund or its designee, the text and to the extent relevant the graphic component of each piece of sales literature or other promotional material in which the Trust Fund or its investment adviser or the Underwriter is named, at least five fifteen Business Days prior to its use. No such material shall be used if the Trust Fund or its designee reasonably objects to such use within five fifteen Business Days after receipt of such material. The Fund or its designee will use its best efforts to review such materials within a shorter time period as the Company will have requested in writing.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustFund shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the TrustFund, or in sales literature or other promotional material approved by the Trust Fund or its designeedesignee or by the Underwriter, except with the permission of the TrustFund or the Underwriter or the designee of either.
4.3. The Trust Fund, Underwriter, or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are ), is named at least five fifteen Business Days prior to its use. No such material shall be used if the Company company or its designee reasonably objects object to such use within five fifteen Business Days after receipt of such material.
4.4. The Trust Fund and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, Contracts other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements Statements of additional Additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Fund or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission commission or other regulatory authorities.
4.6. The Company will provide to the Trust Fund at least one complete copy of all registration statements, prospectuses, statements Statements of additional informationAdditional Information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the ContractsContracts or each Account, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authoritiesCommission.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements Statements of additional informationAdditional Information, shareholder reports, and proxy materials.
Appears in 3 contracts
Samples: Participation Agreement (Separate Account Vul-2 of the American Franklin Life Ins Co), Participation Agreement (Separate Account Vul-2 of the American Franklin Life Ins Co), Participation Agreement (Separate Account Va 1 of the American Franklin Life Ins Co)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterDistributor or its designee, a copy of each piece of sales literature or other promotional material that the Company develops or proposes to use and in which the Trust a Fund (or Portfolio thereof) or the Underwriter Distributor is namednamed in connection with the Contracts, at least five Business Days ten (10) business days prior to its use. No such material shall be used if the Trust or its designee reasonably Distributor objects to such use within five Business Days (5) business days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust Distributor in connection with the sale of the Contracts other than the information or representations contained in the registration statement statement, including the prospectus or prospectus SAI for the TrustFund shares, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designeeDistributor, except with the permission of the TrustDistributor.
4.3. The Trust or its designee Distributor shall furnish, or shall cause to be furnished, to the Company or its designeeCompany, a copy of each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts Accounts are named at least five Business Days ten (10) business days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days (5) business days after receipt of such material.
4.4. The Trust and the Underwriter Distributor shall not give any information or make any representations on behalf of the Company or concerning the Company, each Accountthe Accounts, or the Contracts, Contracts other than the information or representations contained in a registration statement statement, including the prospectus or prospectus SAI for the Contracts, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to For purposes of Articles IV and VIII, the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, phrase “sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media; e.g., on-line networks such as the Internet or other electronic media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materialsmaterials (including solicitations for voting instructions) and any other material constituting sales literature or advertising under the FINRA rules, the 1933 Act or the 0000 Xxx.
4.6. At the request of any party to this Agreement, each other party will make available to the other party’s independent auditors and/or representatives of the appropriate regulatory agencies, all records, data and access to operating procedures that may be reasonably requested in connection with compliance and regulatory requirements related to this Agreement or any party’s obligations under this Agreement.
Appears in 3 contracts
Samples: Participation Agreement (Separate Account No. 70 of AXA Equitable Life Insurance Co), Participation Agreement (Separate Account No. 70 of AXA Equitable Life Insurance Co), Participation Agreement (Separate Acct No 49 of Axa Equitable Life Insurance Co)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust or its designee, each piece of sales literature or other promotional material in which the Trust Trust, its investment adviser or the Underwriter underwriter is named, at least five Business Days a reasonable time prior to its use. No such material shall be used if the Trust or its designee reasonably objects object to such use within five 15 Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, designee except with the permission of the Trust.
4.3. The Trust or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are ), is named at least five Business Days a reasonable time prior to its use. No such material shall be used if the Company or its designee reasonably objects object to such use within five 15 Business Days after receipt of or such material.
4.4. The Trust and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each the Account, or the Contracts, Contracts other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each the Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements Statements of additional informationAdditional Information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contractsor its shares, prior to or contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities. The Trust shall also promptly inform the Company of the results or any examination by the Securities and Exchange Commission (or other regulatory authorities), and shall provide the Company with a copy of any "deficiency letter" or other correspondence or written report regarding any such examination.
4.74.6. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: means advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public mediabillboard), and sales literature (i.e.such as brochures, any written communication circulars, market letters and form letters), distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 2 contracts
Samples: Participation Agreement (Preferred Life Variable Account C), Participation Agreement (Preferred Life Variable Account C)
Sales Material and Information. 4.1. 4.1 The Company shall furnish, or shall cause to be furnished, to the Underwritereach Trust or its designee, a copy of each piece of sales literature or other promotional material that the Company develops or proposes to use and in which the each Trust (or a Portfolio thereof) or the Underwriter Distributor is namednamed in connection with the Contracts, at least five ten (10) Business Days prior to its use. No such material shall be used if the each Trust or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.2. 4.2 The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the either Trust in connection with the sale of the Contracts other than the information or representations contained in the respective registration statement statements, including the prospectus or prospectus SAI for the Trusteach Trust shares, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the each Trust or its designee, the Distributor except with the permission of each Trust or the TrustDistributor.
4.3. The 4.3 Each Trust or its designee the Distributor shall furnish, or shall cause to be furnished, to the Company or its designeeCompany, a copy of each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are is named at least five ten (10) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.4. The 4.4 Each Trust and or the Underwriter Distributor shall not give any information or make any representations on behalf of the Company or concerning the Company, each the Account, or the Contracts, Contracts other than the information or representations contained in a registration statement statement, including the prospectus or prospectus SAI for the Contracts, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The 4.5 Each Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statementsSAIs, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with Designated Portfolio(s) within a reasonable period of time following the filing of such document document(s) with the Securities and Exchange Commission SEC or FINRA or other regulatory authorities.
4.6. 4.6 The Company will provide to the each Trust at least one complete copy of all registration statements, prospectuses, statements of additional informationSAIs, reports, solicitations for voting instructionsInstructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and all amendments to any of the above, that relate to the investment in Contracts or the Trust under Account, if requested by the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authoritiesTrust.
4.7. 4.7 For purposes of this Article IVArticles IV and VIII, the phrase "“sales literature or and other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements :
a) Advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media; e.g., on-line networks such as the Internet or other electronic media), sales .
b) Sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational .
c) Educational or training materials or other communications distributed or made generally available to some or all agents or employees.
d) Shareholder reports.
e) Proxy materials (including solicitations for voting instructions).
f) Any other material constituting sales literature or advertising under the FINRA rules, the 1933 Act or the 0000 Xxx.
4.8 At the request of any party to this Agreement, each other party will make available to the other party’s independent auditors and/or representative of the appropriate regulatory agencies, all records, data and registration statements, prospectuses, statements of additional information, shareholder reports, access to operating procedures that may be reasonably requested in connection with compliance and proxy materialsregulatory requirements related to this Agreement or any party’s obligations under this Agreement.
Appears in 2 contracts
Samples: Fund Participation Agreement (SBL Variable Annuity Account Xiv), Fund Participation Agreement (Variable Annuity Account A)
Sales Material and Information. 4.1. The Company 4.1 MMLIC shall furnish, or shall cause to be furnished, to the UnderwriterTrust or its designee, a copy of each piece of sales literature or other promotional material that MMLIC develops or proposes to use and in which the Trust (or a Portfolio thereof) or the Underwriter Distributor is namednamed in connection with the Contracts, at least five ten (10) Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.2. The Company 4.2 MMLIC shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement statement, including the prospectus or prospectus SAI for the TrustTrust shares, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, Distributor except with the permission of the TrustTrust or Distributor.
4.3. 4.3 The Trust or its designee the Distributor shall furnish, or shall cause to be furnished, to the Company or its designeeMMLIC, a copy of each piece of sales literature or other promotional material in which the Company or MMLIC and/or its separate account(s) or Contracts are is named at least five ten (10) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably MMLIC objects to such use within five (5) Business Days after receipt of such material.
4.4. 4.4 The Trust and or the Underwriter Distributor shall not give any information or make any representations on behalf of the Company MMLIC or concerning MMLIC, the Company, each Account, or the Contracts, Contracts other than the information or representations contained in a registration statement statement, including the prospectus or prospectus SAI for the Contracts, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company MMLIC or its designee, except with the permission of the CompanyMMLIC.
4.5. 4.5 The Trust will provide to the Company MMLIC at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statementsSAIs, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with Designated Portfolio(s) within a reasonable period of time following the filing of such document document(s) with the Securities and Exchange Commission SEC or NASD or other regulatory authorities.
4.6. The Company 4.6 MMLIC will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional informationSAIs, reports, solicitations for voting instructionsInstructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and all amendments to any of the above, that relate to the investment in Contracts or the Trust under the ContractsAccount, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authoritiesif requested by MMLIC.
4.7. 4.7 For purposes of this Article IVArticles IV and VIII, the phrase "“sales literature or and other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements :
a) Advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media; e.g., on-line networks such as the Internet or other electronic media), sales .
b) Sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational .
c) Educational or training materials or other communications distributed or made generally available to some or all agents or employees.
d) Shareholder reports.
e) Proxy materials (including solicitations for voting instructions).
f) Any other material constituting sales literature or advertising under the NASD rules, the 1933 Act or the 1940 Act.
4.8 At the request of any party to this Agreement, each other party will make available to the other party’s independent auditors and/or representative of the appropriate regulatory agencies, all records, data and registration statements, prospectuses, statements of additional information, shareholder reports, access to operating procedures that may be reasonably requested in connection with compliance and proxy materialsregulatory requirements related to this Agreement or any party’s obligations under this Agreement.
Appears in 2 contracts
Samples: Fund Participation Agreement (Massachusetts Mutual Variable Annuity Separate Account 4), Fund Participation Agreement (Ing Variable Products Trust)
Sales Material and Information. 4.1. 4.1 The Company shall furnish, or shall cause to be furnished, to the Underwritereach Trust or its designee, a copy of each piece of sales literature or other promotional material that the Company develops or proposes to use and in which the each Trust (or a Portfolio thereof) or the Underwriter Distributor is namednamed in connection with the Contracts, at least five ten (10) Business Days prior to its use. No such material shall be used if the each Trust or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.2. 4.2 The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the any Trust in connection with the sale of the Contracts other than the information or representations contained in the respective registration statement statements, including the prospectus or prospectus SAI for the Trusteach Trust shares, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the each Trust or its designee, the Distributor except with the permission of each Trust or the TrustDistributor.
4.3. The 4.3 Each Trust or its designee the Distributor shall furnish, or shall cause to be furnished, to the Company or its designeeCompany, a copy of each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are is named at least five ten (10) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.4. The 4.4 Each Trust and or the Underwriter Distributor shall not give any information or make any representations on behalf of the Company or concerning the Company, each Accountthe Account(s), or the Contracts, Contracts other than the information or representations contained in a registration statement statement, including the prospectus or prospectus SAI for the Contracts, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The 4.5 Each Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statementsSAIs, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with Designated Portfolio(s) within a reasonable period of time following the filing of such document document(s) with the Securities and Exchange Commission SEC or FINRA or other regulatory authorities.
4.6. 4.6 The Company will provide to the each Trust at least one complete copy of all registration statements, prospectuses, statements of additional informationSAIs, reports, solicitations for voting instructionsInstructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and all amendments to any of the above, that relate to the investment in Contracts or the Trust under Account(s), if requested by the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authoritiesCompany.
4.7. 4.7 For purposes of this Article IVArticles IV and VIII, the phrase "“sales literature or and other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements :
a) Advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media; e.g., on-line networks such as the Internet or other electronic media), sales .
b) Sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational .
c) Educational or training materials or other communications distributed or made generally available to some or all agents or employees.
d) Shareholder reports.
e) Proxy materials (including solicitations for voting instructions).
f) Any other material constituting sales literature or advertising under the FINRA rules, the 1933 Act or the 0000 Xxx.
4.8 At the request of any party to this Agreement, each other party will make available to the other party’s independent auditors and/or representative of the appropriate regulatory agencies, all records, data and registration statements, prospectuses, statements of additional information, shareholder reports, access to operating procedures that may be reasonably requested in connection with compliance and proxy materialsregulatory requirements related to this Agreement or any party’s obligations under this Agreement.
Appears in 2 contracts
Samples: Participation Agreement (Separate Account Va B), Participation Agreement (Separate Account Va Bny)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the Underwriter, each piece of sales literature or other promotional material in which the Trust or the Underwriter is named, at least five Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the Trust, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the Trust.
4.3. The Trust or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named at least five Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.4. The Trust and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 2 contracts
Samples: Participation Agreement (Rydex Variable Trust), Participation Agreement (Rydex Advisor Variable Annuity Account)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust, the Adviser or their designee, sections of the separate accounts prospectuses and statements of additional information and each piece of sales literature or other promotional material prepared by the Company or any person contracting with the Company to prepare such material in which the Trust Trust, the Adviser or the Underwriter Administrator is nameddescribed, at least five Business Days prior to its use. No such material shall be used if the Trust Trust, the Adviser, the Administrator or its their designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Neither the Company nor any person contracting with the Company to prepare sales literature or other promotional material shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement statement, prospectus, or prospectus SAI for the Trust, as such registration statement and statement, prospectus or SAI may be amended or supplemented from time to time, or in reports to shareholders or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designee.
4.3. The Trust or its designee Administrator shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material prepared by the Trust in which the Company or its separate account(s) or Contracts Accounts, are named described at least five Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.4. The Trust and Neither the Underwriter Trust, the Administrator, nor the Adviser shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement statement, prospectus or prospectus SAI for the Contracts, as such registration statement and prospectus or prospectus, or SAI may be amended or supplemented from time to time, or in published reports or solicitations for voting instruction for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company Company, upon its request, at least one complete copy of all registration statements, prospectuses, statements of additional informationSAIs, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with promptly after the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Trust, upon the Trust’s request, at least one complete copy of all registration statements, prospectuses, statements of additional informationSAIs, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with an Account or Contract promptly after the filing of such document documents with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 2 contracts
Samples: Fund Participation Agreement (Variable Annuity Account A), Fund Participation Agreement (Variable Annuity Account A)
Sales Material and Information. 4.1. 4.1 The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust or its designee, a copy of each piece of sales literature or other promotional material that the Company develops or proposes to use and in which the Trust (or a Portfolio thereof) or the Underwriter Distributor is namednamed in connection with the Contracts, at least five ten (10) Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.2. 4.2 The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the either Trust in connection with the sale of the Contracts other than the information or representations contained in the respective registration statement statements, including the prospectus or prospectus SAI for the TrustTrust shares, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, the Distributor except with the permission of the TrustTrust or the Distributor.
4.3. 4.3 The Trust or its designee the Distributor shall furnish, or shall cause to be furnished, to the Company or its designeeCompany, a copy of each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are is named at least five ten (10) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.4. 4.4 The Trust and or the Underwriter Distributor shall not give any information or make any representations on behalf of the Company or concerning the Company, each Accountthe Account(s), or the Contracts, Contracts other than the information or representations contained in a registration statement statement, including the prospectus or prospectus SAI for the Contracts, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. 4.5 The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statementsSAIs, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with Designated Portfolio(s) within a reasonable period of time following the filing of such document document(s) with the Securities and Exchange Commission SEC or FINRA or other regulatory authorities.
4.6. 4.6 The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional informationSAIs, reports, solicitations for voting instructionsInstructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and all amendments to any of the above, that relate to the investment in Contracts or the Trust under Account(s), if requested by the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authoritiesTrust.
4.7. 4.7 For purposes of this Article IVArticles IV and VIII, the phrase "sales literature or and other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements :
a) Advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media); e.g., sales on-line networks such as the Internet or other electronic media) intended to solicit offers to buy new variable insurance contracts.
b) Sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research research, reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational ) intended to solicit offers to buy new variable insurance contracts.
c) Educational or training materials or other communications distributed or made generally available to some or all agents or employeesemployees for the purposes of further prospects of obtaining offers to buy new variable insurance contracts.
d) Any other material constituting retail sales literature under the FINRA rules, the 1933 Act or the 1940 Act and intended to solicit offers to buy new variable insurance contracts.
4.8 At the request of any party to this Agreement, each other party will make available to the other party's independent auditors and/or representative of the appropriate regulatory agencies, all records, data and access to operating procedures that may be reasonably requested in connection with compliance and regulatory requirements related to this Agreement or any party's obligations under this Agreement.
4.9 Notwithstanding anything to the contrary contained elsewhere herein, the Parties recognize that the Company is no longer offering new Contracts, and registration statementsit is not engaged at all in sales efforts; and, prospectusestherefore, statements no failure to comply with the terms of additional information, shareholder reports, this Section 4 shall be deemed a material breach of contract unless and proxy materialsto the extent that such failure is in the context of actually selling Contracts or soliciting for offers to purchase new Contracts.
Appears in 2 contracts
Samples: Fund Participation Agreement (Variable Account D of Union Security Insurance Co), Participation Agreement (Variable Account D of Union Security Insurance Co)
Sales Material and Information. 4.1. The 4.1 Each Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust or its designee, a copy of each piece of sales literature or other promotional material that each Company develops or proposes to use and in which the Trust (or a Portfolio thereof) or the Underwriter Distributor is namednamed in connection with each Company’s Contracts, at least five ten (10) Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.2. 4.2 The Company Companies shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the each Company’s Contracts other than the information or representations contained in the registration statement statement, including the prospectus or prospectus SAI for the TrustTrust shares, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, Distributor except with the permission of the TrustTrust or Distributor.
4.3. 4.3 The Trust or its designee the Distributor shall furnish, or shall cause to be furnished, to the Company or its designeeeach Company, a copy of each piece of sales literature or other promotional material in which the Company or its Company’s and/or each Company’s separate account(s) or Contracts are is named at least five ten (10) Business Days prior to its use. No such material shall be used if the any Company or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.4. 4.4 The Trust and or the Underwriter Distributor shall not give any information or make any representations on behalf of the Company Companies or concerning the CompanyCompanies, each AccountCompany’s Account(s), or the Contracts, each Company’s Contracts other than the information or representations contained in a registration statement statement, including the prospectus or prospectus SAI for the Contracts, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company Companies or its each Company’s designee, except with the permission of the each Company.
4.5. 4.5 The Trust will provide to the Company Companies at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statementsSAIs, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with Designated Portfolio(s) within a reasonable period of time following the filing of such document document(s) with the Securities and Exchange Commission SEC or NASD or other regulatory authorities.
4.6. The 4.6 Each Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional informationSAIs, reports, solicitations for voting instructionsInstructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and all amendments to any of the above, that relate to each Company’s Contracts or their Account(s), if requested by the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authoritiesTrust.
4.7. 4.7 For purposes of this Article IVArticles IV and VIII, the phrase "“sales literature or and other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements :
a) Advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media; e.g., on-line networks such as the Internet or other electronic media), sales .
b) Sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational .
c) Educational or training materials or other communications distributed or made generally available to some or all agents or employees.
d) Shareholder reports.
e) Proxy materials (including solicitations for voting instructions).
f) Any other material constituting sales literature or advertising under the NASD rules, the 1933 Act or the 0000 Xxx.
4.8 At the request of any party to this Agreement, each other party will make available to the other party’s independent auditors and/or representative of the appropriate regulatory agencies, all records, data and registration statements, prospectuses, statements of additional information, shareholder reports, access to operating procedures that may be reasonably requested in connection with compliance and proxy materialsregulatory requirements related to this Agreement or any party’s obligations under this Agreement.
Appears in 2 contracts
Samples: Fund Participation Agreement (Ing Investors Trust), Participation Agreement (Ing Partners Inc)
Sales Material and Information. 4.1. The Company 4.1 CML shall furnish, or shall cause to be furnished, to the UnderwriterTrust or its designee, a copy of each piece of sales literature or other promotional material that CML develops or proposes to use and in which the Trust (or a Portfolio hereof) or the Underwriter Distributor is namednamed in connection with the Contracts, at least five ten (10) Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.2. The Company 4.2 CML shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement statement, including the prospectus or prospectus SAI for the TrustTrust shares, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, Distributor except with the permission of the TrustTrust or Distributor.
4.3. 4.3 The Trust or its designee the Distributor shall furnish, or shall cause to be furnished, to the Company or its designeeCML, a copy of each piece of sales literature or other promotional material in which the Company or CML and/or its separate account(s) or Contracts are is named at least five Business ten (10) business Days prior to its use. No such material shall be used if the Company or its designee reasonably CML objects to such use within five (5) Business Days after receipt of such material.
4.4. 4.4 The Trust and or the Underwriter Distributor shall not give any information or make made any representations on behalf of the Company CML or concerning CML, the Company, each Account, or the Contracts, Contracts other than the information or representations contained in a registration statement statement, including the prospectus or prospectus SAI for the Contracts, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company CML or its designee, except with the permission of the CompanyCML.
4.5. 4.5 The Trust will provide to the Company CML at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statementsSAIs, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with Designated Portfolio(s) within a reasonable period of time following the filing of such document documents(s) with the Securities and Exchange Commission SEC or NASD or other regulatory authorities.
4.6. The Company 4.6 CML will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional informationSAIs, reports, solicitations for voting instructionsInstructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and all amendments to any of the above, that relate to the investment in Contracts or the Trust under the ContractsAccount, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authoritiesit requested by CML.
4.7. 4.7 For purposes of this Article IVArticles IV and VIII, the phrase "“sales literature or and other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements :
a) Advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media; e.g., on-line networks such as the Internet or other electronic media), sales .
b) Sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational .
c) Educational or training materials or other communications distributed or made generally available to some or all agents or employees.
d) Shareholder reports.
e) Proxy materials (including solicitations for voting instructions).
f) Any other material constituting sales literature or advertising under the NASD rules, the 1933 Act or the 1940 Act.
4.8 At the request of any party to this Agreement, each other party will make available to the other party’s independent auditors and/or representative of the appropriate regulatory agencies, all records, data and registration statements, prospectuses, statements of additional information, shareholder reports, access to operating procedures that may be reasonably requested in connection with compliance and proxy materialsregulatory requirements related to this Agreement or any party’s obligations under this Agreement.
Appears in 2 contracts
Samples: Fund Participation Agreement (C M Multi Account A), Fund Participation Agreement (C M Multi Account A)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterUnderwriter or its designee, each piece of sales literature or other promotional material that the Company develops and in which the Trust a Fund or its adviser or the Underwriter is named, at least five Business Days prior to its use. No such material shall be used if the Trust until approved in writing by Underwriter or its designee. Underwriter or its designee reserves the right to reasonably objects object to the continued use of any such use within five Business Days after receipt of sales literature or other promotional material in which the Fund, its adviser or the Underwriter is named, and no such materialmaterial shall be used if the Fund or its designee so object.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust a Fund or concerning a Fund or its adviser or the Trust Underwriter in connection with the sale of the Contracts other than the information or representations contained in the registration statement or profiles or prospectus or SAI for the TrustFund shares, as such registration statement and profiles and prospectus or SAI may be amended or supplemented from time to time, or in reports or proxy statements for the Trusta Fund, or in sales literature or other promotional material approved by the Trust Underwriter or its designee, except with the permission of the TrustUnderwriter.
4.3. The Trust Underwriter or its designee shall furnish, or shall cause to be furnished, to the Company or its designeeCompany, each piece of sales literature or other promotional material that it develops and in which the Company, and/or its Account, is named. No such material shall be used until approved by the Company. The Company reserves the right to reasonably object to the continued use of any such sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are named at least five Business Days prior to its use. No Account is named, and no such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt of such materialso objects.
4.4. The Trust and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each the Account, or the Contracts, Contracts other than the information or representations contained in a registration statement and prospectus (which shall include an offering memorandum, if any, if the Contracts issued by the Company or prospectus interests therein are not registered under the 1933 Act), or SAI for the Contracts, as such registration statement and prospectus statement, prospectus, or SAI may be amended or supplemented from time to time, or in published reports for each the Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Underwriter will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional informationSAIs, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust a Fund or its shares, contemporaneously with promptly after the filing of such document document(s) with the Securities and Exchange Commission SEC or other regulatory authorities.
4.6. The Company will provide to the Trust Underwriter at least one complete copy of all registration statements, prospectusesprospectuses (which shall include an offering memorandum, statements of additional informationif any, if the Contracts issued by the Company or interests therein are not registered under the 1933 Act), SAIs, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and all amendments to any of the above, that relate to the investment in Contracts or the Trust under the ContractsAccount, contemporaneously with promptly after the filing of such document document(s) with the Securities and Exchange Commission SEC or other regulatory authorities. The Company shall provide to Underwriter any complaints received from the Contract owners pertaining to a Fund.
4.7. Underwriter will provide the Company with as much notice as is reasonably practicable of any proxy solicitation for any Fund, and of any material change in a Fund’s registration statement, particularly any change resulting in a change to the registration statement or prospectus for any Account. Underwriter will work with the Company so as to enable the Company to solicit proxies from Contract owners, or to make changes to its prospectus or registration statement, in an orderly manner.
4.8. For purposes of this Article IV, the phrase "“sales literature or and other promotional material" materials” includes, but is not limited to, any of the following that refer to the Trust Fund or any affiliate of the TrustFund: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional informationSAIs, shareholder reports, and proxy materials, and any other communications distributed or made generally available with regard to a Fund.
Appears in 2 contracts
Samples: Participation Agreement (Merrill Lynch Life Variable Annuity Separate Account D), Participation Agreement (Ml of New York Variable Annuity Separate Account D)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the Underwriter, each piece of sales literature or other promotional material in which the Trust or the Underwriter is named, at least five Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Company MONY shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with its receipt of net premiums in connection with the sale of the MONY Contracts other than the information or representations contained in or accurately derived from the registration statement Registration Statement, prospectus or prospectus Statement of Additional Information for the Trust, as such registration statement and Registration Statement, prospectus or Statement of Additional Information may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designees.
4.34.2. The Trust or its designee the Distributors, or their respective designees, shall furnish, or shall cause to be furnished, to the Company MONY or its designeedesignees, the form of each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are MONY is named at least five Business Days prior to its use. No such material shall be used if the Company MONY or its designee designees reasonably objects object to such its use within five Business Days after receipt of such material.
4.44.3. The Trust and the Underwriter Distributors shall not give any information or make any representations on behalf of the Company MONY or concerning MONY, the Company, each Account, or the Contracts, MONY Contracts other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented accurately derived from time to time, or in published reports for each the Account which are in the public domain or approved by the Company MONY for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designeeContractowners, except with the permission of the CompanyMONY.
4.54.4. The Trust will shall provide to the Company MONY at least one complete copy of all registration statementsRegistration Statements, prospectuses, statements Statements of additional informationAdditional Information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC, the NASD, or other regulatory authorities.
4.64.5. The Company will MONY shall provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and all amendments to any of the above, that relate to the investment in MONY Contracts or the Trust under Account if such document also relates to the ContractsTrust, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC, the NASD, or other regulatory authorities.
4.74.6. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, including materials published or designed for use in, in a newspaper, magazine, or other periodical, radio, television, telephone or tape or electronic recording, videotape display, signs or billboards, motion pictures, electronic messages or communications or other public media, including a publicly available internet address or website), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published articlearticle or internet site or website), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements Statements of additional informationAdditional Information, shareholder reports, and proxy materials. However, it is anticipated that materials provided solely: (a) internally to MONY's or a Distributor's own employees or counsel; or (b) to certain designated third parties and that are not designed to be provided or communicated in any manner to the general public (e.g., training materials provided to distributors or agents) will not be filed with the SEC, the NASD, or any state securities or insurance regulatory authorities, although such materials will be prepared in accordance with applicable laws.
Appears in 2 contracts
Samples: Participation Agreement (Mony Variable Account A), Participation Agreement (Mony America Variable Account L)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterFund or its designee, each piece of sales literature or other promotional material in which the Trust Fund or the Underwriter Adviser(s) is named, at least five ten Business Days prior to its use. No such material shall be used if the Trust Fund or its designee reasonably objects to such use within five ten Business Days after receipt of such material.,
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustFund shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the TrustFund, or in sales literature or other promotional material approved by the Trust Fund or its designee, except with the permission of the TrustFund.
4.3. The Trust Fund or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust Fund and the Underwriter Advisers shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Fund or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Fund at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any ally of the above, that relate to the investment in the Trust Fund under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 2 contracts
Samples: Fund Participation Agreement (Talcott Resolution Life & Annuity Insur Co Separate Account Three), Participation Agreement (Talcott Resolution Life & Annuity Insurance Co Separate Account Seven)
Sales Material and Information. 4.1. 4.1 The Company shall furnish, or shall cause to be furnished, to the Underwritereach Trust or its designee, a copy of each piece of sales literature or other promotional material that the Company develops or proposes to use and in which the each Trust (or a Portfolio thereof) or the Underwriter Distributor is namednamed in connection with the Contracts, at least five ten (10) Business Days prior to its use. No such material shall be used if the each Trust or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.2. 4.2 The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the either Trust in connection with the sale of the Contracts other than the information or representations contained in the respective registration statement statements, including the prospectus or prospectus SAI for the Trusteach Trust shares, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the each Trust or its designee, the Distributor except with the permission of each Trust or the TrustDistributor.
4.3. The 4.3 Each Trust or its designee the Distributor shall furnish, or shall cause to be furnished, to the Company or its designeeCompany, a copy of each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are is named at least five ten (10) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.4. The 4.4 Each Trust and or the Underwriter Distributor shall not give any information or make any representations on behalf of the Company or concerning the Company, each the Account, or the Contracts, Contracts other than the information or representations contained in a registration statement statement, including the prospectus or prospectus SAI for the Contracts, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The 4.5 Each Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statementsSAIs, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with Designated Portfolio(s) within a reasonable period of time following the filing of such document document(s) with the Securities and Exchange Commission SEC or FINRA or other regulatory authorities.
4.6. 4.6 The Company will provide to the each Trust at least one complete copy of all registration statements, prospectuses, statements of additional informationSAIs, reports, solicitations for voting instructionsInstructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and all amendments to any of the above, that relate to the investment in Contracts or the Trust under Account, if requested by the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authoritiesTrust.
4.7. 4.7 For purposes of this Article IVArticles IV and VIII, the phrase "“sales literature or and other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements :
(a) Advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media; e.g., on-line networks such as the Internet or other electronic media), sales .
(b) Sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational .
(c) Educational or training materials or other communications distributed or made generally available to some or all agents or employees.
(d) Shareholder reports.
(e) Proxy materials (including solicitations for voting instructions).
(f) Any other material constituting sales literature or advertising under the FINRA rules, the 1933 Act or the 1940 Act.
4.8 At the request of any party to this Agreement, each other party will make available to the other party’s independent auditors and/or representative of the appropriate regulatory agencies, all records, data and registration statements, prospectuses, statements of additional information, shareholder reports, access to operating procedures that may be reasonably requested in connection with compliance and proxy materialsregulatory requirements related to this Agreement or any party’s obligations under this Agreement.
Appears in 2 contracts
Samples: Fund Participation Agreement (Variable Annuity Account A), Fund Participation Agreement (SBL Variable Annuity Account Xiv)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the Underwriter, each piece of sales literature or other promotional material in which the Trust or the Underwriter is named, at least five Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the Trust, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales PH02A/13795.1 literature or other promotional material approved by the Trust or its designee, except with the permission of the Trust.
4.3. The Trust or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named at least five Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.4. The Trust and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.. PH02A/13795.1
Appears in 2 contracts
Samples: Participation Agreement (Phlvic Variable Universal Life Account), Participation Agreement (Phlvic Variable Universal Life Account)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust, the Advisers or their designee, drafts of any language related to the Trust Portfolio(s) used in the prospectus, each piece of sales literature or other promotional material prepared by the Company or any person contracting with the Company to prepare such material in which the Trust Trust, the Advisers or the Underwriter Administrator is nameddescribed, at least five ten Business Days prior to its use. No such material shall be used if the Trust Trust, the Advisers, the Administrator or its their designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Neither the Company nor any person contracting with the Company to prepare sales literature or other promotional material shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust prospectus, as such registration statement and or Trust prospectus may be amended or supplemented from time to time, or in reports to shareholders or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designee.
4.3. The Trust or its designee Administrator shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material prepared by the Trust in which the Company or its separate account(s) or Contracts Accounts, are named described at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.4. The Trust and Neither the Underwriter Trust, the Administrator, nor the Advisers shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and or prospectus may be amended or supplemented from time to time, or in published reports or solicitations for voting instruction for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company Company, upon its request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with promptly after the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Trust, upon the Trust’s request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contractsan Account or Contract, contemporaneously with promptly after the filing of such document documents with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 2 contracts
Samples: Fund Participation Agreement (COLI VUL-2 Series Account of Great-West Life & Annuity Insurance Co of New York), Fund Participation Agreement (Coli Vul 2 Series Account)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust, Advisor or Distributor or its designee, each piece of sales literature or other promotional material in which the Trust Trust, the Advisor or the Underwriter Distributor is namednamed and which the form of such material has not been previously reviewed by the Trust, Advisor or Distributor, at least five 10 Business Days prior to its use. No such material shall be used if the Trust Trust, the Advisor, the Distributor or its their designee reasonably objects to such use within five Business Days after receipt no later than three business days before the intended use of such material.
4.2. The Company Except with the permission of the Trust, Distributor or Advisor or their designee, the Company, its affiliates and agents shall not give any information or make any representations or statements on behalf of the Trust Trust, the Distributor or the Advisor or concerning the Trust in connection with Trust, the sale of Distributor or the Contracts Advisor, other than the information or representations contained in the registration statement or prospectus for the TrustTrust shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designeedesignee or by the Distributor. This shall not apply to independently created information based on Trust, except with Distributor or Advisor information otherwise allowable under this paragraph, but in no case shall the permission of Company, its affiliates and agents give such information or make such statements in a context that causes the Trustinformation, representations or statements to be false or misleading.
4.3. The Trust Trust, Advisor or its designee Distributor shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company Company, an Account or its separate account(s) or Contracts are Contract is named and which the form of such material has not been previously reviewed by the Company, at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt no later than three business days before the intended use of such material.
4.4. The Trust Except with the permission of the Company or its designee, the Trust, the Advisor, and the Underwriter Distributor, as well as their affiliates and agents, shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, Contracts other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee. This shall not apply to independently created information based on Company, except with Account or Contract information otherwise allowable under this paragraph, but in no case shall the permission of Trust, Distributor, Advisor, their affiliates and/or agents give such information or make such statements in a context that causes the Companyinformation, representations or statements to be false or misleading.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements Statements of additional informationAdditional Information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with promptly after the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities.
4.6. The Upon request, the Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with materials promptly after the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional materialSALES LITERATURE OR OTHER PROMOTIONAL MATERIAL" includes, but is not limited to, any of the following that refer to the Trust Trust, Advisor, Distributor, Company or any affiliate of their respective designee in the Trustsame or similar context: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements Statements of additional informationAdditional Information, shareholder reports, and proxy materials, but shall not include institutional sales communications.
Appears in 2 contracts
Samples: Participation Agreement (MTB Group of Funds), Participation Agreement (MTB Group of Funds)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust, the Adviser or their designee, drafts of the Accounts’ registration statements, prospectuses, statements of additional information, private placement memoranda or other disclosure document (each, an “Offering Document”) and each piece of sales literature or other promotional material prepared by the Company or any person contracting with the Company to prepare such material in which the Trust Trust, the Adviser or the Underwriter Administrator is nameddescribed, at least five ten Business Days prior to its use. No such material shall be used if the Trust Trust, the Adviser, the Administrator or its their designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Neither the Company nor any person contracting with the Company to prepare sales literature or other promotional material shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust prospectus, as such registration statement and or Trust prospectus may be amended or supplemented from time to time, or in reports to shareholders or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designee.
4.3. The Trust or its designee Administrator shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material prepared by the Trust in which the Company or its separate account(s) or Contracts Accounts, are named described at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust and Neither the Underwriter Trust, the Administrator, nor the Adviser shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus an Offering Document for the Contracts, as such registration statement and prospectus Offering Document may be amended or supplemented from time to time, or in published reports or solicitations for voting instruction for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company Company, upon its request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with promptly after the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Trust, upon the Trust’s request, at least one complete copy of all registration statements, prospectuses, statements of additional informationOffering Documents, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contractsan Account or Contract, contemporaneously with the filing of such document documents with the Securities and Exchange Commission or other regulatory authoritiesauthorities or with the first use of such documents to the extent that filing with the SEC or other regulator authorities is not required.
4.7. For purposes of this Article IV4, the phrase "“sales literature or other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trustfollowing: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, internet, telephone or tape recording, videotape videotape, display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), and educational or training materials or other communications distributed or made generally available to some or all agents or employees, .
4.8. The Company and registration statements, prospectuses, statements its agents shall make no representations concerning the Trust except those contained in the then-current prospectus and statement of additional information, shareholder reports, information of the Trust and proxy materialsin current printed sales literature of the Trust.
Appears in 2 contracts
Samples: Fund Participation Agreement (Prudential Variable Contract Account Gi-2), Participation Agreement (Prudential Variable Contract Account Gi-2)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust, the Advisers or their designee, drafts of the separate accounts prospectuses and statements of additional information and each piece of sales literature or other promotional material prepared by the Company or any person contracting with the Company to prepare such material in which the Trust Trust, the Advisers or the Underwriter Administrator is nameddescribed, at least five ten Business Days prior to its use. No such material shall be used if the Trust Trust, the Advisers, the Administrator or its their designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Neither the Company nor any person contracting with the Company to prepare sales literature or other promotional material shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust prospectus, as such registration statement and or Trust prospectus may be amended or supplemented from time to time, or in reports to shareholders or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designee.
4.3. The Trust or its designee Administrator shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material prepared by the Trust in which the Company or its separate account(s) or Contracts Accounts, are named described at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust and Neither the Underwriter Trust, the Administrator, nor the Advisers shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and or prospectus may be amended or supplemented from time to time, or in published reports or solicitations for voting instruction for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with promptly after the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Trust, upon the Trust's request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contractsan Account or Contract, contemporaneously prior to with the filing of such document documents with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV4, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trustfollowing: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, internet, telephone or tape recording, videotape videotape, display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), and educational or training materials or other communications distributed or made generally available to some or all agents or employees, .
4.8. The Company and registration statements, prospectuses, statements its agents shall make no representations concerning the Trust except those contained in the then-current prospectus and statement of additional information, shareholder reports, information of the Trust and proxy materialsin current printed sales literature of the Trust.
Appears in 2 contracts
Samples: Fund Participation Agreement (Lincoln Life Flexible Premium Variable Life Account M), Fund Participation Agreement (Lincoln Life Flexible Premium Variable Life Account M)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust, the Adviser or their designee, sections of the separate accounts prospectuses and statements of additional information and each piece of sales literature or other promotional material prepared by the Company or any person contracting with the Company to prepare such material in which the Trust Trust, the Adviser or the Underwriter Administrator is nameddescribed, at least five Business Days prior to its use. No such material shall be used if the Trust Trust, the Adviser, the Administrator or its their designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Neither the Company nor any person contracting with the Company to prepare sales literature or other promotional material shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement statement, prospectus, or prospectus SAI for the Trust, as such registration statement and statement, prospectus or SAI may be amended or supplemented from time to time, or in reports to shareholders or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designee.
4.3. The Trust or its designee Administrator shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material prepared by the Trust in which the Company or its separate account(s) or Contracts Accounts, are named described at least five Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.4. The Trust and Neither the Underwriter Trust, the Administrator, nor the Adviser shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement statement, prospectus or prospectus SAI for the Contracts, as such registration statement and prospectus or prospectus, or SAI may be amended or supplemented from time to time, or in published reports or solicitations for voting instruction for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company Company, upon its request, at least one complete copy of all registration statements, prospectuses, statements of additional informationSAIs, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with promptly after the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Trust, upon the Trust’s request, at least one complete copy of all registration statements, prospectuses, statements of additional informationSAIs, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with an Account or Contract promptly after the filing of such document documents with the Securities and Exchange Commission or other regulatory authorities.
4.7. The Trust will provide the Company with reasonable notice of any proxy solicitation for any Portfolio, and of any material change in the Trust’s registration statement, particularly any change resulting in a change to the registration statement or prospectus for any Account. The Trust will work with the Company so as to enable the Company to make changes to its prospectus or registration statement, in an orderly manner. The Trust will make reasonable efforts to attempt to have changes affecting Contract prospectuses become effective simultaneously with the annual updates for such prospectuses.
4.8. For purposes of this Article IV4, the phrase "“sales literature or other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trusta Portfolio: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, internet, telephone or tape recording, videotape videotape, display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employeesemployees and any other material constituting sales literature or advertising under the National Association of Securities Dealers, Inc. or Financial Industry Regulatory Authority rules, the 1940 Act or the 1933 Act, with regard to a Portfolio.
4.9. Unless approved as provided for in this Article 4, the Company and registration statements, prospectuses, statements its agents shall make no representations concerning the Trust except those contained in the then-current prospectus and SAI of additional information, shareholder reports, the Trust and proxy materialsin current printed sales literature of the Trust.
Appears in 2 contracts
Samples: Fund Participation Agreement (SBL Variable Annuity Account Xiv), Fund Participation Agreement (SBL Variable Annuity Account Xiv)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust, the Adviser or their designee each piece of sales literature or other promotional material prepared by the Company or any person contracting with the Company to prepare such material in which the Trust Trust, the Adviser or the Underwriter Administrator is nameddescribed, promptly after filing such documents with the SEC and/or other regulatory authorities. An example of language used to describe the Trust in such documents shall be provided at least five 10 Business Days prior to its use. No such material shall be used if the Trust Trust, the Adviser, the Administrator or its their designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Neither the Company nor any person contracting with the Company to prepare sales literature or other promotional material shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust prospectus, as such registration statement and or Trust prospectus may be amended or supplemented from time to time, or in reports to shareholders or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designee.
4.3. The Trust or its designee Administrator shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material prepared by the Trust in which the Company or its separate account(s) or Contracts Accounts, are named described at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust and Neither the Underwriter Trust, the Administrator, nor the Adviser shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and or prospectus may be amended or supplemented from time to time, or in published reports or solicitations for voting instruction for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company Company, upon its request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with promptly after the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of the following documents provided they specifically mention the Trust and provided the Trust has not previously reviewed the documents: all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contractsan Account or Contract, contemporaneously with prior to the filing of such document documents with the Securities and Exchange Commission SEC or other regulatory authorities. No such material shall be used if the Trust, the Adviser, the Administrator or their designee reasonably objects to such use within ten Business Days after receipt of such material.
4.7. For purposes of this Article IV4, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trustfollowing: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, internet, telephone or tape recording, videotape videotape, display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), and educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 2 contracts
Samples: Fund Participation Agreement (Genworth Life & Annuity VA Separate Account 1), Fund Participation Agreement (Genworth Life of New York VA Separate Account 1)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterFund, prior to its use, each piece of sales literature or other promotional material advertising prepared by the Company in which the Trust Fund or the Underwriter Adviser is named, at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Trust Fund or its designee the Adviser reasonably objects to such its use within five (5) Business Days after following receipt of such materialby the Fund.
4.2. The Company shall not give any information or will not, without the permission of the Fund, make any representations or statements on behalf of the Trust Fund or the Adviser or concerning the Trust Fund or the Adviser in connection with the advertising or sale of the Contracts Contracts, other than the information or representations contained in in: (a) the Fund’s registration statement or prospectus for prospectus(es), (b) the TrustFund’s annual and semi annual reports to shareholders, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or (c) proxy statements for the TrustShares, or in (d) sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustFund.
4.3. The Trust or its designee Fund shall furnish, or shall cause to be furnished, to the Company or its designeeprior to use, each piece of sales literature or other promotional material advertising prepared by the Fund in which the Company Company, the Contracts or its separate account(s) or Contracts Separate Accounts, are named at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Company or its designee reasonably objects to such its use within five (5) Business Days after following receipt of such materialby the Company.
4.4. The Trust and Neither the Underwriter shall not give any information or Fund nor the Adviser will, without the permission of the Company, make any representations or statements on behalf of the Company Company, the Contracts or the Separate Accounts or concerning the Company, each Account, the Contracts or the Separate Accounts in connection with the advertising or sale of the Contracts, other than the information or representations contained in a in: (a) the registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time (b) Separate Account reports to timeshareholders, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or (c) in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reportsreports to shareholders, proxy statements, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, exemptions and requests for no-action letters, and all amendments to any of the aboveamendments, that relate to the Trust Fund or its shares, contemporaneously with the Shares within a reasonable time after the filing of each such document with the Securities and Exchange Commission SEC or other regulatory authoritiesthe Financial Industry Regulatory Authority (“FINRA”).
4.6. The Company will provide to the Trust Fund at least one complete copy of all private placement memoranda (and amendments), registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructionsinstructions (if applicable), sales literature and other promotional materials, applications for exemptions, and requests for no no-action letters, and all amendments to any of the aboveamendments, that relate to the investment in the Trust under the Contracts, contemporaneously with Contracts within a reasonable time after the filing of such document with the Securities and Exchange Commission SEC or other regulatory authoritiesFINRA, or if not so filed, contemporaneous with its first use.
4.7. For purposes The Company hereby consents to the use by the Fund or the Adviser of the names of the Separate Accounts in connection with marketing the Fund, subject to the terms of this Article IV. The Company hereby consents to the use of any trademark, trade name, service xxxx or logo used by the phrase "sales literature Separate Accounts by the Fund or other promotional material" includes, but is not limited to, any the Adviser subject to the prior written approval of the following that refer to Company of such use and in accordance with the Trust or any affiliate reasonable requirements of the Trust: advertisements (such Company. Such consent will terminate following the termination of this Agreement as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., soon as Shares are no longer offered through variable insurance contracts issued by the Company and no Separate Account owns any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materialsShares.
Appears in 1 contract
Sales Material and Information. 4.1. 4.1 The Company shall furnish, or shall cause to be furnished, to the UnderwriterDistributor prior to use, each piece of sales literature or other promotional material advertising prepared by the Company in which the Trust Issuer, its investment adviser or the Underwriter Distributor is named, at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Trust or its designee Distributor reasonably objects to such its use within five ten (10) Business Days after following receipt of such materialby the Distributor.
4.2. 4.2 The Company shall not give any information or will not, without the permission of the Distributor, make any representations or statements on behalf of the Trust Distributor or concerning the Trust Issuer or its investment adviser in connection with the advertising or sale of the Contracts Contracts, other than the information or of representations contained in in: (a) the registration statement or prospectus for the TrustSeries prospectus(es), as such registration statement (b) Series’ annual and prospectus may be amended or supplemented from time semiannual reports to timeshareholders, or in reports or (c) proxy statements for the TrustSeries, or in or, (d) sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustDistributor.
4.3. 4.3 The Trust or its designee Distributor shall furnish, or shall cause to be furnished, to the Company or its designeeprior to use, each piece of sales literature or other promotional material advertising prepared by the Distributor in which the Company Company, the Contracts or its separate account(s) or Contracts Separate Accounts, are named at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Company or its designee reasonably objects to such its use within five ten (10) Business Days after following receipt of such materialby the Company.
4.4. The Trust and 4.4 Neither American Century nor the Underwriter shall not give any information Issuer or its investment adviser will, without the permission of the Company, make any representations or statements on behalf of the Company Company, the Contracts, or the Separate Accounts or concerning the Company, each Accountthe Contracts or the Separate Accounts, in connection with the advertising or sale of the Contracts, other than the information or representations contained in a in: (a) the registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time (b) Separate Account reports to timeshareholders, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or (c) in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Sales Material and Information. Section 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterDistributor prior to use, each piece of sales literature or other promotional material advertising prepared by Company in which the Trust Trust, the Funds or the Underwriter Distributor is named, at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Trust or its designee the Distributor reasonably objects to such its use within five ten (10) Business Days after following receipt of such materialby the Distributor.
Section 4.2. The Company shall will not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the advertising or sale of the Contracts Contracts, other than the information or representations contained in in: (a) the registration statement or prospectus for the TrustFunds' prospectus(es), as such registration statement and prospectus may be amended or supplemented from time to time, or in (b) reports or to shareholders, (c) proxy statements for the TrustFunds, or in (d) sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustDistributor.
Section 4.3. The Trust or its designee Each Fund shall furnish, or shall cause to be furnished, to Company and the Company or its designeeDistributor prior to use, each piece of sales literature or other promotional material advertising prepared by or for the Trust in which Company, the Company Contracts or its separate account(s) or Contracts Separate Accounts, are named at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Company or its designee reasonably objects to such its use within five ten (10) Business Days after following receipt of such materialby Company.
Section 4.4. The Neither the Trust and nor the Underwriter shall not Distributor will give any information or make any representations or statements on behalf of the Company or concerning the Company, each Accountthe Contracts, or the ContractsSeparate Accounts or concerning Company, the Contracts or the Separate Accounts, in connection with the advertising or sale of the Contracts or Fund shares, other than the information or representations contained in a in: (a) the registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to timetime (b) reports to shareholders, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or (c) in sales literature or other promotional material approved by Company under Section 4.3. The Fund and the Company Distributor shall comply with all applicable federal and state laws and regulations in connection with any efforts they make, directly, or its designeeindirectly, except with the permission to promote sales of the CompanyFund's shares.
Section 4.5. The Trust will provide to the Company Company, upon Company's request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reportsreports to shareholders, proxy statements, sales literature and other promotional materials, applications for exemptions, exemptions and requests for no-action letters, and all amendments to any of the aboveamendments, that relate to the Trust or its sharesFunds as soon as practicable and as mutually agreed upon by the Parties, contemporaneously with after the filing of such document with the Securities and Exchange Commission SEC or other regulatory authoritiesauthority.
Section 4.6. The Company will provide to the Trust Trust, upon the Trust's request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, and requests for no action letters, and all amendments to any of the aboveamendments, that relate to the investment in Company or the Trust under Contracts as soon as practicable and as mutually agreed upon by the ContractsParties, contemporaneously with after the filing of such document with the Securities and Exchange Commission SEC or other regulatory authoritiesauthority.
Section 4.7. For purposes of this Article IVSection, the phrase terms, "sales literature literature", "advertising" or "other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspapernewspapers, magazinemagazines, or other periodicalperiodicals, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, electronic publications, websites, or other public media), sales literature ) (i.e., any written communication distributed or generally made generally available to customers or the publicpublic including electronic and website materials, including brochures, circulars, research reports, market letters, e-mail messages, form letters, newsletters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), ; educational or training materials or other communications distributed or made generally available to some or all agents or employees, and ; registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials, and any other material constituting sales literature or advertising under NASD rules, the 1933 Act or the 1940 Act, including electronic and website materials.
Appears in 1 contract
Samples: Participation Agreement (Nyliac Variable Annuity Separate Account Iv)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterFund or its designee, each piece of sales literature or other promotional material in which the Trust Fund or the Underwriter Adviser(s) is named, at least five ten Business Days prior to its use. No such material shall be used if the Trust Fund or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustFund shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the TrustFund, or in sales literature or other promotional material approved by the Trust Fund or its designee, except with the permission of the TrustFund.
4.3. The Trust Fund or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are is named at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust Fund and the Underwriter Advisers shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, Account or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Fund or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission COmmission or other regulatory authorities.
4.6. The Company will provide to the Trust Fund at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust Fund under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust Fund or any affiliate of the TrustFund: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally ---- available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Pia Variable Annuity Account I)
Sales Material and Information. Section 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterDistributor prior to use, each piece of sales literature or other promotional material advertising prepared by Company in which the Trust Trust, the Funds or the Underwriter Distributor is named, at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Trust or its designee the Distributor reasonably objects to such its use within five ten (10) Business Days after following receipt of such materialby the Distributor.
Section 4.2. The Company shall will not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the advertising or sale of the Contracts Contracts, other than the information or representations contained in in: (a) the registration statement or prospectus for the TrustFunds’ prospectus(es), as such registration statement and prospectus may be amended or supplemented from time to time, or in (b) reports or to shareholders, (c) proxy statements for the TrustFunds, or in (d) sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustDistributor.
Section 4.3. The Trust or its designee Each Fund shall furnish, or shall cause to be furnished, to Company and the Company or its designeeDistributor prior to use, each piece of sales literature or other promotional material advertising prepared by or for the Trust in which Company, the Company Contracts or its separate account(s) or Contracts Separate Accounts, are named at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Company or its designee reasonably objects to such its use within five ten (10) Business Days after following receipt of such materialby Company.
Section 4.4. The Neither the Trust and nor the Underwriter shall not Distributor will give any information or make any representations or statements on behalf of the Company or concerning the Company, each Accountthe Contracts, or the ContractsSeparate Accounts or concerning Company, the Contracts or the Separate Accounts, in connection with the advertising or sale of the Contracts or Fund shares, other than the information or representations contained in a in: (a) the registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time ·to timetime (b) reports to shareholders, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or (c) in sales literature or other promotional material approved by Company under Section 4.3. The Fund and the Company Distributor shall comply with all applicable federal and state laws and regulations in connection with any efforts they make, directly, or its designeeindirectly, except with the permission to promote sales of the CompanyFund’s shares.
Section 4.5. The Trust will provide to the Company Company, upon Company’s request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reportsreports to shareholders, proxy statements, sales literature and other promotional materials, applications for exemptions, exemptions and requests for no-action letters, and all amendments to any of the aboveamendments, that relate to the Trust or its sharesFunds as soon as practicable and as mutually agreed upon by the Parties, contemporaneously with after the filing of such document with the Securities and Exchange Commission SEC or other regulatory authoritiesauthority.
Section 4.6. The Company will provide to the Trust Trust, upon the Trust’s request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, and requests for no action letters, and all amendments to any of the aboveamendments, that relate to the investment in Company or the Trust under Contracts as soon as practicable and as mutually agreed upon by the ContractsParties, contemporaneously with after the filing of such document with the Securities and Exchange Commission SEC or other regulatory authoritiesauthority.
Section 4.7. For purposes of this Article IVSection, the phrase "terms, “sales literature literature”, “advertising” or “other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspapernewspapers, magazinemagazines, or other periodicalperiodicals, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, electronic publications, websites, or other public media), sales literature ) (i.e., any written communication distributed or generally made generally available to customers or the publicpublic including electronic and website materials, including brochures, circulars, research reports, market letters, e-mail messages, form letters, newsletters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), ; educational or training materials or other communications distributed or made generally available to some or all agents or employees, and ; registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials, and any other material constituting sales literature or advertising under FINRA rules, the 1933 Act or the 1940 Act, including electronic and website materials.
Appears in 1 contract
Samples: Participation Agreement (Nyliac Variable Annuity Separate Account I)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the Underwriter, each piece of sales literature or other promotional material in which the Trust or the Underwriter is named, at least five Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. 4.1 The Company shall not give any information or make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus or SAI for the TrustFund shares, as such registration statement and prospectus or SAI may 5 be amended or supplemented from time to time, or in reports or proxy statements for the TrustFund, or in sales literature or other promotional material approved by the Trust Fund or its designeedesignee or by the Underwriter, except with the permission of the TrustFund or the Underwriter or the designee of either. In cases requiring such permission, the Company shall furnish, or shall cause to be furnished, to the Underwriter each piece of sales literature or other promotional material that it develops or uses and in which the Fund is named at least ten (10) calendar days prior to its use. No such material shall be used if the Underwriter reasonably objects to such use within five (5) calendar days after receipt of such material.
4.34.2 The Adviser will provide to the Company at least one complete copy of all prospectuses, SAIs, reports, proxy statements, sales literature and other promotional materials, and all amendments to any of the above, that relate to the Fund or its shares, promptly after the filing of such document(s) with the SEC or other regulatory authorities. Upon request, the Adviser will provide a copy of all registration statements, profiles, applications for exemptions and requests for no action letters. The Trust Adviser will provide the Company with as much notice as is reasonably practicable of any material change in the Fund’s registration statement, particularly any change resulting in a change to the registration statement or prospectus for any Account. The Fund will work with the Company so as to enable the Company to make changes to its prospectus or registration statement, in an orderly manner.
4.3 The Underwriter or its designee shall furnish, or shall cause to be furnished, to the Company or its designeeCompany, each piece of sales literature or other promotional material that it develops or uses and in which the Company or Company, and/or its separate account(s) or Contracts are Account, is named at least five Business Days fifteen calendar days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days fifteen calendar days after receipt of such material. The Company reserves the right to reasonably object to the continued use of such material and no such material shall be used if the Company so objects.
4.4. 4.4 The Trust and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each the Account, or the Contracts, or any certificates thereunder other than the information or representations contained in a registration statement the Contracts or prospectus for the Contractsany certificates thereunder, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each the Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.54.5 (a). The Trust Underwriter will provide to the Company at least one complete copy of all registration statements, prospectuses, prospectuses statements of additional informationinformation and shareholder reports for the Funds in such quantities and at such times as the Company requests. If requested by the Company in lieu thereof, reports, proxy statements, sales literature the Underwriter shall provide such documentation (including a final copy of the new prospectus on diskette at the Fund’s or Underwriter’s expense) and other promotional materials, applications assistance as is reasonably necessary in order for exemptions, requests the Company once each year (or more frequently if the prospectus for no-action letters, the Fund is amended) to have the prospectus for the Contracts and all amendments the Fund’s prospectus printed together in one document (such printing of the Fund’s prospectus and profiles for existing Contract owners to be at the Fund’s or Underwriter’s expense). With respect to any prospectuses and shareholder reports for the Funds that are printed in combination with any one or more Contract prospectus (the “Booklet”), the costs of printing Booklets for distribution to existing Contract owners shall be prorated to and reimbursed by the Fund based on (a) the ratio of the above, that relate number of pages of the prospectuses for the Funds included in the Booklet to the Trust or its sharesnumber of pages in the Booklet as a whole; and (b) the ratio of the number of Contract owners with Contract value allocated to the Funds to the total number of Contract owners; provided, contemporaneously with however that the filing Company shall bear all printing expenses of such document combined documents where used for distribution to prospective purchasers or to owners of existing Contracts not funded by the Funds. The Fund may request a statement from the Company showing how the printing expenses were prorated and the number of Contract owners with Contract value allocated to the Securities Fund. The Fund’s prospectus shall state that the current Statement of Additional Information (“SAI”) for the Fund is available. The Fund shall provide the Company with information regarding the Fund’s expenses, which information may include a table of fees and Exchange Commission related narrative disclosure for use in any prospectus or other regulatory authoritiesdescriptive document relating to a Contract.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Investment Advisory Agreement (TIAA Separate Account VA-3)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterAVIF or its designee, each piece of sales literature or other promotional material in which the Trust AVIF, AIM Advisors, any other investment adviser to AVIF, or the Underwriter is any affiliate of AVIF are named, at least five (5) Business Days prior to its use. No such material shall be used if the Trust AVIF, AIM Advisors or its designee their respective designees reasonably objects to such use within five (5) Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements statement on behalf of the Trust AVIF, AIM Advisors, any other investment adviser to AVIF, or concerning the Trust any affiliate of AVIF in connection with the sale of the Contracts Policies other than the information or representations contained in the registration statement, prospectus or statement or prospectus of additional information for the TrustShares, as such registration statement, prospectus and statement and prospectus of additional information may be amended or supplemented from time to time, or in reports or proxy statements prepared by or for the TrustAVIF, or in sales literature or other promotional material approved by the Trust AVIF, AIM Advisors, or its designeetheir respective designees, except with the permission of AVIF, AIM Advisors, or their respective designees. AVIF agrees, and shall cause AIM Advisors and their respective designees, to respond to any request for approval on a prompt and timely basis. The Company shall adopt and implement procedures reasonably designed to ensure that information concerning AVIF, AIM Advisors, or any of their affiliates which is intended for use only by brokers or agents selling the TrustPolicies (i.e., information that is not intended for distribution to Policy owners or prospective Policy owners) is so used, and neither AVIF, AIM Advisors nor any of their affiliates shall be liable for any losses, damages or expenses relating to the improper use of such broker only materials.
4.3. The Trust AVIF or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named and/or the Accounts is named, at least five (5) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within [five (5)] Business Days after receipt of such material.
4.4. The Trust and the Underwriter AVIF shall not give any information or make any representations on behalf of the Company or concerning the Company, each Accountthe Accounts, or the Contracts, Policies in connection with the sale of the Policies other than the information or representations contained in a registration statement, prospectus, or statement or prospectus of additional information for the ContractsPolicies, as such registration statement, prospectus and statement and prospectus of additional information may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract ownersAccounts, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company. The Company agrees to respond to any request for approval on a prompt and timely basis. The parties hereto agree that this Section 4.4. is neither intended to designate nor otherwise imply that AVIF is an underwriter or distributor of the Policies.
4.5. The Trust Company and AVIF (or their designees) will each provide to the Company other at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Accounts or the Policies, or to AVIF or its sharesShares, prior to or contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities. The Company and AVIF shall also each promptly inform the other of the results of any examination by the SEC (or other regulatory authorities) that relates to the Accounts or the Policies, AVIF or its Shares, and the party that was the subject of the examination shall provide the other party with a copy of relevant portions of any "deficiency letter" or other correspondence or written report regarding any such examination.
4.6. The Company AVIF will provide the Company with as much notice as is reasonably practicable of any proxy solicitation for any Portfolio, and of any material change in AVIF's registration statement. AVIF will cooperate with the Company so as to enable the Company to solicit proxies from Policy owners or to make corresponding changes to the Trust at least one complete copy of all registration statementsPolicy prospectus, prospectuses, statements statement of additional informationinformation or registration statement, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments in an orderly manner. AVIF will make reasonable efforts to any of the above, that relate attempt to the investment in the Trust under the Contracts, contemporaneously have changes affecting Policy prospectuses become effective simultaneously with the filing of annual updates for such document with the Securities and Exchange Commission or other regulatory authoritiesprospectuses.
4.7. For purposes of this Article IVIV and Article VIII, the phrase "sales literature or other promotional material" includes, includes but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), and sales literature (i.e.such as brochures, circulars, reprints or excerpts or any written communication other advertisement, sales literature, or published articles), distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (First Citicorp Life Variable Annuity Separate Account)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust or its designee, each piece of sales literature or other promotional material in which the Trust Trust, MFS, any other investment adviser to the Trust, or the Underwriter is any affiliate of MFS are named, at least five three (3) Business Days prior to its use. No such material shall be used if the Trust Trust, MFS, or its designee their respective designees reasonably objects to such use within five three (3) Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the Trust, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the Trust.
4.3. The Trust or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named and/or the Accounts is named, at least five three (3) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five three (3) Business Days after receipt of such material.
4.4. The Trust and the Underwriter MFS shall not give any information or make any representations on behalf of the Company or concerning the Company, each Accountthe Accounts, or the Contracts, Policies in connection with the sale of the Policies other than the information or representations contained in a registration statement, prospectus, or statement or prospectus of additional information for the ContractsPolicies, as such registration statement, prospectus and statement and prospectus of additional information may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract ownersAccounts, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company. The Company or its designee agrees to respond to any request for approval on a prompt and timely basis. The parties hereto agree that this Section 4.4. is neither intended to designate nor otherwise imply that MFS is an underwriter or distributor of the Policies.
4.5. The Company and the Trust (or its designee in lieu of the Company or the Trust, as appropriate) will each provide to the Company other at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-no- action letters, and all amendments to any of the above, that relate to the Policies, or to the Trust or its sharesShares, prior to or contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities. The Company and the Trust shall also each promptly inform the other of the results of any examination by the SEC (or other regulatory authorities) that relates to the Policies, the Trust or its Shares, and the party that was the subject of the examination shall provide the other party with a copy of relevant portions of any "deficiency letter" or other correspondence or written report regarding any such examination.
4.6. The Company Trust and MFS will provide the Company with as much notice as is reasonably practicable of any proxy solicitation for any Portfolio, and of any material change in the Trust's registration statement, particularly any change resulting in change to the Trust at least one complete copy of all registration statements, prospectuses, statements statement or prospectus or statement of additional information, reports, solicitations information for voting instructions, sales literature any Account. The Trust and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously MFS will cooperate with the filing Company so as to enable the Company to solicit proxies from Policy owners or to make changes to its prospectus, statement of such document additional information or registration statement, in an orderly manner. The Trust and MFS will make reasonable efforts to attempt to have changes affecting Policy prospectuses become effective simultaneously with the Securities and Exchange Commission or other regulatory authoritiesannual updates for such prospectuses.
4.7. For purposes purpose of this Article IVIV and Article VIII, the phrase "sales literature or other promotional material" includes, includes but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), and sales literature (i.e.such as brochures, circulars, reprints or excerpts or any written communication other advertisement, sales literature, or published articles), distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Sun Life of Canada U S Variable Account G)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterFund or its designee, each piece of sales literature or other promotional material in which the Trust Fund or the Underwriter Adviser(s) is named, at least five ten Business Days prior to its use. No such material shall be used if the Trust Fund or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustFund shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the TrustFund, or in sales literature or other promotional material approved by the Trust Fund or its designee, except with the permission of the TrustFund.
4.3. The Trust Fund or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are is named at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust Fund and the Underwriter Advisers shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Fund or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Fund at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust Fund under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust Fund or any affiliate of the TrustFund: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Ameritas Variable Life Insurance Co Separate Account V)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterFund, prior to its use, each piece of sales literature or other promotional material advertising prepared by the Company in which the Trust Fund or the Underwriter Adviser is named, at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Trust Fund or its designee the Adviser reasonably objects to such its use within five (5) Business Days after following receipt of such materialby the Fund.
4.2. The Company shall not give any information or will not, without the permission of the Fund, make any representations or statements on behalf of the Trust Fund or the Adviser or concerning the Trust Fund or the Adviser in connection with the advertising or sale of the Contracts Contracts, other than the information or representations contained in in: (a) the Fund's registration statement or prospectus for prospectus(es), (b) the TrustFund's annual and semi annual reports to shareholders, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or (c) proxy statements for the TrustShares, or in (d) sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustFund.
4.3. The Trust or its designee Fund shall furnish, or shall cause to be furnished, to the Company or its designeeprior to use, each piece of sales literature or other promotional material advertising prepared by the Fund in which the Company Company, the Contracts or its separate account(s) or Contracts Separate Accounts, are named at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Company or its designee reasonably objects to such its use within five (5) Business Days after following receipt of such materialby the Company.
4.4. The Trust and Neither the Underwriter shall not give any information or Fund nor the Adviser will, without the permission of the Company, make any representations or statements on behalf of the Company Company, the Contracts or the Separate Accounts or concerning the Company, each Account, the Contracts or the Separate Accounts in connection with the advertising or sale of the Contracts, other than the information or representations contained in a in: (a) the registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time (b) Separate Account reports to timeshareholders, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or (c) in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reportsreports to shareholders, proxy statements, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, exemptions and requests for no-action letters, and all amendments to any of the aboveamendments, that relate to the Trust Fund or its shares, contemporaneously with the Shares within a reasonable time after the filing of each such document with the Securities and Exchange Commission SEC or other regulatory authoritiesthe Financial Industry Regulatory Authority ("FINRA").
4.6. The Company will provide to the Trust Fund at least one complete copy of all private placement memoranda (and amendments), registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructionsinstructions (if applicable), sales literature and other promotional materials, applications for exemptions, and requests for no no-action letters, and all amendments to any of the aboveamendments, that relate to the investment in the Trust under the Contracts, contemporaneously with Contracts within a reasonable time after the filing of such document with the Securities and Exchange Commission SEC or other regulatory authoritiesFINRA, or if not so filed, contemporaneous with its first use.
4.7. For purposes The Company hereby consents to the use by the Fund or the Adviser of the names of the Separate Accounts in connection with marketing the Fund, subject to the terms of this Article IV. The Company hereby consents to the use of any trademark, trade name, service mark or logo used by the phrase "sales literature Separate Accounts by the Fund or other promotional material" includes, but is not limited to, any the Adxxxxr subject to the prior written approval of the following that refer to Company of such use and in accordance with the Trust or any affiliate reasonable requirements of the Trust: advertisements (such Company. Such consent will terminate following the termination of this Agreement as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., soon as Shares are no longer offered through variable insurance contracts issued by the Company and no Separate Account owns any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materialsShares.
Appears in 1 contract
Samples: Participation Agreement (Jefferson National Life Annuity Account G)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the Underwriter, each piece of sales literature or other promotional material in which the Trust or the Underwriter is named, at least five Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the Trust, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the Trust.
4.3. The Trust or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named at least five Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.4. The Trust and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.. PH02A/13795.1 -8-
Appears in 1 contract
Samples: Participation Agreement (Phoenix Life Variable Universal Life Account)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterFund, prior to its use, each piece of sales literature or other promotional material advertising prepared by the Company in which the Trust Fund or the Underwriter Adviser is named, at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Trust Fund or its designee the Adviser reasonably objects to such its use within five (5) Business Days after following receipt of such materialby the Fund.
4.2. The Company shall not give any information or will not, without the permission of the Fund, make any material representations or statements on behalf of the Trust Fund or the Adviser or concerning the Trust Fund or the Adviser in connection with the advertising or sale of the Contracts Contracts, other than the information or representations contained in in: (a) the Fund's registration statement or prospectus for prospectus(es), (b) the TrustFund's annual and semi annual reports to shareholders, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or (c) proxy statements for the TrustShares, or in (d) sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustFund.
4.3. The Trust or its designee Fund shall furnish, or shall cause to be furnished, to the Company or its designeeprior to use, each piece of sales literature or other promotional material advertising prepared by the Fund in which the Company Company, the Contracts or its separate account(s) or Contracts Separate Accounts, are named at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Company or its designee reasonably objects to such its use within five (5) Business Days after following receipt of such materialby the Company.
4.4. The Trust and Neither the Underwriter shall not give any information or Fund nor the Adviser will, without the permission of the Company, make any material representations or statements on behalf of the Company Company, the Contracts or the Separate Accounts or concerning the Company, each Account, the Contracts or the Separate Accounts in connection with the advertising or sale of the Contracts, other than the information or representations contained in a in: (a) the registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time (b) Separate Account reports to timeshareholders, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or (c) in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reportsreports to shareholders, proxy statements, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, exemptions and requests for no-action letters, and all amendments to any of the aboveamendments, that relate to the Trust Fund or its shares, contemporaneously with the Shares within a reasonable time after the filing of each such document with the Securities and Exchange Commission SEC or other regulatory authoritiesthe Financial Industry Regulatory Authority ("FINRA").
4.6. The Company will provide to the Trust Fund at least one complete copy of all private placement memoranda (and amendments), registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructionsinstructions (if applicable), sales literature and other promotional materials, applications for exemptions, and requests for no no-action letters, and all amendments to any of the aboveamendments, that relate to the investment in Contracts and the Trust under the Contracts, contemporaneously with Funds within a reasonable time after the filing of such document with the Securities and Exchange Commission SEC or other regulatory authoritiesFINRA, or if not so filed, contemporaneous with its first use.
4.7. For purposes The Company hereby consents to the use by the Fund or the Adviser of the names of the Separate Accounts in connection with marketing the Fund, subject to the terms of this Article IV. The Company hereby consents to the use of any trademark, trade name, service mark or logo used by the phrase "sales literature Separate Accounts by the Fund or other promotional material" includes, but is not limited to, any the Xxxxser subject to the prior written approval of the following that refer to Company of such use and in accordance with the Trust or any affiliate reasonable requirements of the Trust: advertisements (such Company. Such consent will terminate following the termination of this Agreement as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., soon as Shares are no longer offered through variable insurance contracts issued by the Company and no Separate Account owns any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materialsShares.
Appears in 1 contract
Samples: Participation Agreement (Jefferson National Life Annuity Account G)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterFund or its designee, each piece of sales literature or other promotional material in which the Trust Fund or the Underwriter Adviser(s) is named, at least five ten Business Days prior to its use. No such material shall be used if the Trust Fund or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustFund shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the TrustFund, or in sales literature or other promotional material approved by the Trust Fund or its designee, except with the permission of the TrustFund.
4.3. The Trust Fund or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are is named at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust Fund and the Underwriter Adviser shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Fund or its shares, contemporaneously with which are relevant to the filing of such document with Company or the Securities and Exchange Commission or other regulatory authoritiesContracts.
4.6. The Company will provide to the Trust Fund at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust Fund under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust Fund or any affiliate of the TrustFund: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Investment Management Agreement (Glenbrook Life Multi-Manager Variable Account)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the Underwritereach Trust or its designee, each piece of sales literature or other promotional material in which the Trust such Trust, MFS, any other investment 170757 [page break] adviser to such Trust, or the Underwriter any affiliate of MFD is named, at least five three (3) Business Days prior to its use. No such material shall be used if the Trust such Trust, MFD, or its designee their respective designees reasonably objects to such use within five three (3) Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations representation or statements statement on behalf of the any Trust, MFS, or other investment adviser to any Trust, or any affiliate of MFD, or make any representation or statement concerning such Trust or concerning the Trust any other such entity in connection with the sale of the Contracts Policies, other than the information or representations contained in in: (i) the registration statement, prospectus or statement or prospectus of additional information for the TrustShares, as such registration statement, prospectus and statement and prospectus of additional information may be amended or supplemented from time to time, or in ; (ii) reports or proxy statements for the such Trust, ; or in (iii) sales literature or other promotional material provided or approved by the Trust such Trust, MFD or its designeetheir respective designees, except except, in any case, with the permission of such Trust, MFD or their respective designees. Each Trust and MFD agrees to respond, or to cause their respective designees to respond, to any request for approval on a prompt and timely basis. The Company shall adopt and implement procedures reasonably designed to ensure that information concerning a Trust, MFD or any of their affiliates which is intended for use only by brokers or agents selling the TrustPolicies (i.e., information that is not intended for distribution to Policyowners or prospective Policyowners) is so used, and neither the Trusts, MFD nor any of their affiliates shall be liable for any losses, damages or expenses relating to the improper use of such broker- only materials.
4.3. The Each Trust or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named and/or the Accounts is named, at least five three (3) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five three (3) Business Days after receipt of such material.
4.4. The Trust Trusts and the Underwriter MFD shall not give any information or make any representations on behalf of the Company or concerning the Company, each Accountthe Accounts, or the Contracts, Policies in connection with the sale of the Policies other than the information or representations contained in a registration statement, prospectus, or statement or prospectus of additional information for the ContractsPolicies, as such registration statement, prospectus and statement and prospectus of additional information may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract ownersAccounts, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company. The Company agrees to respond, or cause its designee to respond, to any request for approval on a prompt and timely basis. The Trusts and MFD may not alter any material so provided by the Company or its designee (including, without limitation, presenting or delivering such material in a different medium, e.g., electronic or internet) without the prior written consent of the Company. The parties hereto agree that this Section 4.4. is neither intended to designate nor otherwise imply that MFD is an underwriter or distributor of the Policies.
4.5. The Company and each Trust (or its designee in lieu of the Company or such Trust, as appropriate) will each provide to the Company other, upon request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Policies, or to such Trust or its sharesShares, prior to or contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities.
4.6. The Company will provide to and a Trust shall also each promptly inform the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to results of any examination by the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC (or other regulatory authorities) that relates to the Policies, such Trust or its Shares, and the party that was the subject of the examination shall provide the other party with a copy of relevant portions of any “deficiency letter” or other correspondence or written report regarding any such examination. 170757 [page break]
4.6. Subject to and in accordance with Sections 4.2 and 4.4 of this Agreement, the Trust and MFD hereby each consent in connection with the marketing of the Policies to the Company’s use of their names and other identifying marks in connection with the marketing of the Policies. The Trust and MFD may withdraw this authorization as to any particular use of any such name or identifying xxxx at any time in their sole discretion. Except set forth in the previous sentence, the Company will not cause or permit without prior written permission, the use, description or reference to a Trust party’s name, or to the relationship.
4.7. Each Trust and MFD will provide the Company with as much notice as is reasonably practicable of any proxy solicitation for any Portfolio, and of any material change in such Trust’s registration statement, particularly any change resulting in change to the registration statement or summary prospectus, statutory prospectus or statement of additional information for any Account. Each Trust and MFD will cooperate with the Company so as to enable the Company to solicit proxies from Policyowners or to make changes to its summary prospectus, statutory prospectus, statement of additional information or registration statement, in an orderly manner. Each Trust and MFD will make reasonable efforts to attempt to have changes affecting Policy prospectuses become effective simultaneously with the annual updates for such prospectuses.
4.8. For purposes purpose of this Article IVIV and Article VIII, the phrase "“sales literature or other promotional material" includes, ” includes but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, website, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), and sales literature (i.e.such as brochures, circulars, reprints or excerpts or any written communication other advertisement, sales literature, or published articles), distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Massachusetts Mutual Variable Life Separate Account I)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterUnderwriter or its designee, each piece of sales literature or other promotional material in which the Trust any Fund or its investment adviser or the Underwriter is named, at least five fifteen Business Days prior to its use. No such material shall be used if the Trust Underwriter or its designee reasonably objects to such use within five fifteen Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust any Fund or concerning the Trust any Fund in connection with the sale of the Contracts and Certificates other than the information or representations contained in the registration statement or prospectus for the Trustsuch Fund shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trustsuch Fund, or in sales literature or other promotional material approved by the Trust Underwriter or its designee, except with the permission of the TrustUnderwriter or its designee.
4.3. Sales literature in which any Fund or its investment advisor is named shall be submitted to the SEC or NASD for review as required by applicable law. Copies of any comments received shall be sent to the Underwriter or its designee.
4.4. The Trust Underwriter or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named any Account is named, at least five fifteen Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five fifteen Business Days after receipt of such material.
4.44.5. The Trust and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each any Account, the Contracts or the Contracts, Certificates other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.54.6. The Trust Company will provide to the Company Underwriter at least one complete copy of all registration statements, prospectuses, statements Statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional informationAdditional Information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the ContractsContracts or any Account, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities. 4.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterFund or its designee, each piece of sales literature or other promotional material in which the Trust Fund or the Underwriter Adviser(s) is named, at least five ten Business Days prior to its use. No such material shall be used if the Trust Fund or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustFund shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the TrustFund, or in sales literature or other promotional material approved by the Trust Fund or its designee, except with the permission of the TrustFund.
4.3. The Trust Fund or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are is named at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust Fund and the Underwriter Advisers shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Fund or its shares, contemporaneously with which are relevant to the filing of such document with Company or the Securities and Exchange Commission or other regulatory authoritiesContracts.
4.6. The Company will provide to the Trust Fund at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust Fund under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust Fund or any affiliate of the TrustFund: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Allstate Financial Advisors Separate Account I)
Sales Material and Information. Section 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterDistributor prior to use, each piece of sales literature or other promotional material advertising prepared by Company in which the Trust or the Underwriter Fund or the Distributor is named, at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Trust or its designee the Distributor reasonably objects to such its use within five ten (10) Business Days after following receipt of such materialby the Trust or the Distributor.
Section 4.2. The Company shall will not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the advertising or sale of the Contracts Contracts, other than the information or representations contained in in: (a) the registration statement or prospectus for the TrustFund's prospectus(es), as such registration statement and prospectus may be amended or supplemented from time to time, or in (b) reports or to shareholders, (c) proxy statements for the TrustFund or, or in (d) sales literature or other promotional material previously approved by the Trust or its designeeDistributor, except with the permission including as described in Section 4.1 of the Trustthis Agreement.
Section 4.3. The Trust or its designee Fund shall furnish, or shall cause to be furnished, to Company and the Company or its designeeDistributor prior to use, each piece of sales literature or other promotional material advertising prepared by or for the Trust in which Company, the Company Contracts or its separate account(s) or Contracts Separate Accounts, are named at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Company or its designee reasonably objects to such its use within five ten (10) Business Days after following receipt of such materialby Company.
Section 4.4. The Neither the Trust and nor the Underwriter shall not Distributor will give any information or make any representations or statements on behalf of the Company or concerning the Company, each Accountthe Contracts, or the ContractsSeparate Accounts or concerning Company, the Contracts or the Separate Accounts, in connection with the advertising or sale of the Contracts or Fund shares, other than the information or representations contained in a in: (a) the registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to timetime (b) reports to shareholders, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or (c) in sales literature or other promotional material approved by Company under Section 4.3. The Fund and the Company Distributor shall comply with all applicable federal and state laws and regulations in connection with any efforts they make, directly, or its designeeindirectly, except with the permission to promote sales of the CompanyFund's shares.
Section 4.5. The Trust will provide to the Company Company, upon Company's request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reportsreports to shareholders, proxy statements, sales literature and other promotional materials, applications for exemptions, exemptions and requests for no-action letters, and all amendments to any of the aboveamendments, that relate to the Trust or its shares, contemporaneously with Fund reasonably promptly after the filing of such document with the Securities and Exchange Commission SEC or other regulatory authoritiesauthority.
Section 4.6. The Company will provide to the Trust Trust, upon the Trust's request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, and requests for no action letters, and all amendments to any of the aboveamendments, that relate to the investment in Company or the Trust under the Contracts, contemporaneously with Contracts reasonably promptly after the filing of such document with the Securities and Exchange Commission SEC or other regulatory authoritiesauthority.
Section 4.7. For purposes of this Article IVSection, the phrase terms, "sales literature literature", "advertising" or "other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspapernewspapers, magazinemagazines, or other periodicalperiodicals, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, electronic publications, websites, or other public media), sales literature ) (i.e., any written communication distributed or generally made generally available to customers or the publicpublic including electronic and website materials, including brochures, circulars, research reports, market letters, e-mail messages, form letters, newsletters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), ; educational or training materials or other communications distributed or made generally available to some or all agents or employees, and ; registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials, and any other material constituting sales literature or advertising under NASD rules, the 1933 Act or the 1940 Act, including electronic and website materials.
Appears in 1 contract
Samples: Participation Agreement (Corporate Sponsored Vul Separate Account I)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterFund or its designee, each piece of sales literature or other promotional material in which the Trust Fund or the Underwriter Adviser(s) is named, at least five ten Business Days prior to its use. No such material shall be used if the Trust Fund or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustFund shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the TrustFund, or in sales literature or other promotional material approved by the Trust Fund or its designee, except with the permission of the TrustFund.
4.3. The Trust Fund or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are is named at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust Fund and the Underwriter Advisers shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will Fund Will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Fund or its shares, contemporaneously with which are relevant to the filing of such document with Company or the Securities and Exchange Commission or other regulatory authoritiesContracts.
4.6. The Company will provide to the Trust Fund at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust Fund under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust Fund or any affiliate of the TrustFund: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., i.e. any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Companion Life Separate Account B)
Sales Material and Information. 4.1. 4.1 The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust, or its designee, prior to use, each piece of sales literature or other promotional material advertising prepared by the Company in which the Trust Trust, the Adviser or the Underwriter is named, at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Trust or its designee Trust, reasonably objects to such its use within five (5) Business Days after receipt of such materialmaterial by the Trust or its designee.
4.2. 4.2 The Company shall not give any information or will not, without the permission of the Trust, make any representations or statements on behalf of the Trust or concerning the Trust in connection with the advertising or sale of the Contracts Contracts, other than the information or representations contained in in: (a) the registration statement or prospectus for the TrustFund prospectus(es), as such registration statement (b) Fund annual and prospectus may be amended or supplemented from time semi-annual reports to timeshareholders, or in reports or (c) proxy statements for the TrustFunds, or in or, (d) sales literature or other promotional material approved by the Trust or its designee, except with the permission of the Trust.
4.3. 4.3 The Trust or its designee shall furnish, or shall cause to be furnished, to the Company or its designeeprior to use, each piece of sales literature or other promotional material advertising prepared by the Trust in which the Company Company, the Contracts or its separate account(s) or Contracts Accounts, are named at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Company or its designee reasonably objects to such its use within five (5) Business Days after receipt of such material.
4.4. The 4.4 Neither the Trust and nor the Underwriter shall not give any information or nor the Adviser will, without the permission of the Company, make any representations or statements on behalf of the Company Company, the Contracts, or the Accounts or concerning the Company, each Accountthe Contracts or the Accounts, in connection with the advertising or sale of the Contracts, other than the information or representations contained in a in: (a) the | 8 [page break] registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time (b) Account reports to timeshareholders, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or (c) in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Fund Participation Agreement (Massachusetts Mutual Variable Life Separate Account I)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust, the Advisers or their designee, drafts of the separate accounts prospectuses and statements of additional information and each piece of sales literature or other promotional material prepared by the Company or any person contracting with the Company to prepare such material in which the Trust Trust, the Advisers or the Underwriter Administrator is nameddescribed, at least five ten Business Days prior to its use. No such material shall be used if the Trust Trust, the Advisers, the Administrator or its their designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Neither the Company nor any person contracting with the Company to prepare sales literature or other promotional material shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust prospectus, as such registration statement and or Trust prospectus may be amended or supplemented from time to time, or in reports to shareholders or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designee.
4.3. The Trust or its designee Administrator shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material prepared by the Trust in which the Company or its separate account(s) or Contracts Accounts, are named described at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust and Neither the Underwriter Trust, the Administrator, nor the Advisers shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and or prospectus may be amended or supplemented from time to time, or in published reports or solicitations for voting instruction for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company Company, upon its request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with promptly after the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Trust, upon the Trust's request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contractsan Account or Contract, contemporaneously prior to with the filing of such document documents with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV4, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trustfollowing: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, internet, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.,
Appears in 1 contract
Samples: Fund Participation Agreement (National Variable Life Insurance Account)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterUnderwriter or its designee, each piece of sales literature or other promotional material in which the Trust any Fund or its investment adviser or the Underwriter is named, at least five ten (10) Business Days prior to its use. No such material shall be used if the Trust Underwriter or its designee reasonably objects to such use within five ten (10) Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust any Fund or concerning the Trust any Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the Trustsuch Fund shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trustsuch Fund, or in sales literature or other promotional material approved by the Trust Underwriter or its designee, except with the permission of the TrustUnderwriter or its designee.
4.3. Sales literature in which any Fund or its investment advisor is named shall be submitted to the SEC or NASD for review as required by applicable law. Copies of any comments received shall be sent to the Underwriter or its designee.
4.4. The Trust Underwriter or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named any Account is named, at least five ten (10) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten (10) Business Days after receipt of such material.
4.44.5. The Trust and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each any Account, or the Contracts, Contracts other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.54.6. The Trust Company will provide to the Company Underwriter at least one complete copy of all registration statements, prospectuses, statements Statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional informationAdditional Information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the ContractsContracts or any Account, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements Statements of additional informationAdditional Information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Nationwide Variable Account)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust, the Adviser or their designee, drafts of the separate accounts prospectuses and statements of additional information and each piece of sales literature or other promotional material prepared by the Company or any person contracting with the Company to prepare such material in which the Trust Trust, the Adviser or the Underwriter Administrator is nameddescribed, at least five ten Business Days prior to its use. No such material shall be used if the Trust Trust, the Adviser, the Administrator or its their designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Neither the Company nor any person contracting with the Company to prepare sales literature or other promotional material shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust prospectus, as such registration statement and or Trust prospectus may be amended or supplemented from time to time, or in reports to shareholders or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designee.
4.3. The Trust or its designee Adviser shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material prepared by the Trust in which the Company or its separate account(s) or Contracts Accounts, are named described at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust and Neither the Underwriter Trust, the Administrator, nor the Adviser shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and or prospectus may be amended or supplemented from time to time, or in published reports or solicitations for voting instruction for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with promptly after the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Trust, upon the Trust's request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contractsan Account or Contract, contemporaneously with the filing of such document documents with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV4, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trustfollowing: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape videotape, display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), and educational or training materials or other communications distributed or made generally available to some or all agents or employees, .
4.8. The Company and registration statements, prospectuses, statements its agents shall make no representations concerning the Trust except those contained in the then-current prospectus and Statement of additional information, shareholder reports, Additional Information of the Trust and proxy materialsin current printed sales literature of the Trust.
Appears in 1 contract
Samples: Fund Participation Agreement (Agl Separate Account Vl R)
Sales Material and Information. 4.1. 4.1 The Company shall furnish, or shall cause to be furnished, to the UnderwriterInvestment Company or its designee, each piece of sales literature or other promotional material material, or component thereof, in which the Trust Investment Company, the Adviser, or the Underwriter is named, at least five fifteen Business Days prior to its use. No such material shall be used if the Trust Investment Company or its designee reasonably objects to such use within five fifteen Business Days after receipt of such material.
4.2. 4.2 The Company shall not give any information or make any representations or statements on behalf of the Trust Investment Company or concerning the Trust Investment Company in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustInvestment Company shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the TrustInvestment Company, or in sales literature or other promotional material approved by the Trust Investment Company or its designeedesignee or by the Underwriter, except with the permission of the TrustInvestment Company or the Underwriter or the designee of either. The Investment Company and the Underwriter agree to respond to any request for approval on a prompt and timely basis.
4.3. 4.3 The Trust Investment Company, the Underwriter, or its designee their designees shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material material, or component thereof, in which the Company or its separate account(s) or Contracts Accounts are named at least five fifteen Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five fifteen Business Days after receipt of such material.
4.4. 4.4 The Trust Investment Company and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, Contracts other than the information or representations contained in a registration statement or statement, prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company. The Company agrees to respond to any request for approval on a prompt and timely basis.
4.5. 4.5 The Trust Investment Company will provide to the Company at least one complete copy of all registration statements, prospectuses, statements Statements of additional informationAdditional Information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Investment Company or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities.
4.6. 4.6 The Company will provide to the Trust Investment Company at least one complete copy of all registration statements, prospectuses, statements Statements of additional informationAdditional Information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and all amendments to any of the above, that relate to the investment in the Trust under the ContractsContracts or each Account, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities.
4.7. 4.7 For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, electronic media, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements Statements of additional information, shareholder reports, and proxy materials.Additional
Appears in 1 contract
Samples: Participation Agreement (WRL Series Life Corporate Account)
Sales Material and Information. 4.1. The 4.1 Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust or its designee prior to use, each piece of sales literature or other promotional material advertising prepared by Company in which the Trust Trust, the Adviser or the Underwriter Distributor is nameddescribed, at least five ten Business Days prior to its use. No such material shall sales literature or advertising will be used if the Trust Trust, the Adviser, or its designee the Distributor reasonably objects to such its use within five ten (10) Business Days after following receipt of such materialby the Trust.
4.2. The 4.2 Company shall will not give any information or make any representations or statements on behalf of the Trust Trust, the Distributor, or Advisor, or concerning the Trust in connection with Trust, the sale of the Contracts Distributor, or Advisor other than the information or representations contained in in: (a) the registration statement or prospectus for the TrustTrust prospectus(es), as such registration statement (b) Series' annual and prospectus may be amended or supplemented from time semi annual reports to timeshareholders, or in reports or (c) proxy statements for the TrustSeries, or in or, (d) sales literature or other promotional material approved by the Trust the Distributor or its designeethe Advisor, except with as the permission of the Trustcase may be.
4.3. 4.3 The Trust or its designee Trust, the Distributor and the Advisor shall furnish, or shall cause to be furnished, to the Company or its designeeprior to use, each piece of sales literature or other promotional material advertising prepared by the Trust in which Company, the Company Contracts or its separate account(s) or Contracts Separate Accounts, are named at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Company or its designee reasonably objects to such its use within five ten (10) Business Days after following receipt of such materialby Company.
4.4. The 4.4 Neither the Trust and nor the Underwriter shall not give any information or Distributor nor the Adviser will, without the permission of Company, make any representations or statements on behalf of the Company or concerning the Company, each Accountthe Contracts, or the ContractsSeparate Accounts or concerning Company, the Contracts or the Separate Accounts, other than the information or representations contained in a in: (a) the registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time (b) Separate Account reports to timeshareholders, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or (c) in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Hartford Life Insurance Co Separate Account Seven)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust, the Adviser or their designee, drafts of prospectuses, statements of additional information, and other similar disclosure documents for the Accounts, as well as each piece of sales literature or other promotional material prepared by the Company or any person contracting with the Company to prepare such material in which the Trust Trust, the Adviser or the Underwriter Administrator is nameddescribed, at least five ten Business Days prior to its use. No such material shall be used if the Trust Trust, the Adviser, the Administrator or its their designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Neither the Company nor any person contracting with the Company to prepare sales literature or other promotional material shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust prospectuses, as such registration statement and prospectus or prospectuses may be amended or supplemented from time to time, or in reports to shareholders or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designee.
4.3. The Trust or its designee Adviser shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material prepared by the Trust in which the Company or its separate account(s) or Contracts Accounts, are named described at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust and Neither the Underwriter Trust, the Administrator, nor the Adviser shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement statement, prospectus, or prospectus other similar disclosure document for the Contracts, as such registration statement and prospectus statement, prospectus, or other similar disclosure document may be amended or supplemented from time to time, or in published reports or solicitations for voting instruction for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with promptly after the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Trust, upon the Trust's request, at least one complete copy of all registration statements, prospectuses, statements of additional information, other similar disclosure documents, reports, solicitations for voting instructions, sales literature and other promotional materials, applications to the Securities and Exchange Commission for exemptions, requests to the Securities and Exchange Commission for no action "no-action" letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contractsan Account or Contract, contemporaneously with the filing of such document documents with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trustfollowing: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape videotape, display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), and educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Hartford Life Insurance Co Separate Account Seven)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterAVIF or its designee, each piece of sales literature or other promotional material in which the Trust AVIF, AIM Advisors, any other investment advisor to AVIF, or the Underwriter is any affiliate of AVIF are named, at least five (5) Business Days prior to its use. No such material shall be used if the Trust AVIF, AIM Advisors or its designee their respective designees reasonably objects to such use within five (5) Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements statement on behalf of the Trust AVIF, AIM Advisors, any other investment adviser to AVIF, or concerning the Trust any affiliate of AVIF in connection with the sale of the Contracts Policies other than the information or representations contained in the registration statement, prospectus or statement or prospectus of additional information for the TrustShares, as such registration statement, prospectus and statement and prospectus of additional information may be amended or supplemented from time to time, or in reports or of proxy statements prepared by or for the TrustAVIF, or in sales literature or other promotional material approved by the Trust AVIF, AIM Advisors, or its designeetheir respective designees, except with the permission of AVIF, AIM Advisors, or their respective designees. AVIF agrees, and shall cause AIM Advisors and their respective designees, to respond to any request for approval on a prompt and timely basis. The Company shall adopt and implement procedures reasonably designed to ensure that information concerning AVIF, AIM Advisors, or any of their affiliates which is intended for use only by brokers or agents selling the TrustPolicies (i.e., information that is not intended for distribution to Policy owners or prospective Policy owners) is so used, and neither AVIF, AIM Advisors nor any of their affiliates shall be liable for any losses, damages or expenses relating to the improper use of such broker only materials.
4.3. The Trust AVIF or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material materials in which the Company or its separate account(s) or Contracts are named and/or the Accounts is named, at least five (5) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.4. The Trust and the Underwriter AVIF shall not give any information or make any representations on behalf of the Company or concerning the Company, each Accountthe Accounts, or the Contracts, Policies in connection with the sale of the Policies other than the information or representations contained in a registration statement, prospectus, or statement or prospectus of additional information for the ContractsPolicies, as such registration statement, prospectus and statement and prospectus of additional information may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract ownersAccounts, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company. The Company agrees to respond to any request for approval on a prompt and timely basis. The parties hereto agree that this Section 4.4. is neither intended to designate nor otherwise imply that AVIF is an underwriter or distributor of the Policies.
4.5. The Trust Company and AVIF (or their designees) will each provide to the Company other at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Accounts or the Policies, or to AVIF or its sharesShares, prior to or contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities. The Company and AVIF shall also each promptly inform the other of the results of any examination by the SEC (or other regulatory authorities) that relates to the Accounts or the Policies, AVIF or its Shares, and the party that was the subject of the examination shall provide the other party with a copy of relevant portions of any deficiency letter" or other correspondence or written report regarding any such examination.
4.6. The Company AVIF will provide the Company with as much notice as is reasonably practicable of any proxy solicitations for any Portfolio, and of any material change in AVIF's registration statement. AVIF will cooperate with the Company so as to enable the Company to solicit proxies from Policy owners to make corresponding changes to the Trust at least one complete copy of all registration statementsPolicy prospectus, prospectuses, statements statement of additional informationinformation or registration statement, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments in an orderly manner. AVIF will make reasonable efforts to any of the above, that relate attempt to the investment in the Trust under the Contracts, contemporaneously have changes affecting Policy prospectuses become effective simultaneously with the filing of annual updates for such document with the Securities and Exchange Commission or other regulatory authoritiesprospectuses.
4.7. For purposes of this Article IVIV and Article VIII, the phrase "sales literature or other promotional material" includes, includes but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), and sales literature (i.e.such as brochures, circulars, reprints or excerpts or any written communication other advertisement, sales literature, or published articles), distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Citicorp Life Variable Annuity Separate Account)
Sales Material and Information. 4.1. 4.1 The Company shall furnish, or shall cause to be furnished, to the UnderwriterFund, or its designee, prior to use, each piece of sales literature or other promotional material advertising prepared by the Company in which the Trust Fund, the Adviser or the Underwriter is named, at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Trust Fund, or its designee designee, reasonably objects to such its use within five (5) Business Days after receipt of such materialmaterial by the Fund or its designee.
4.2. 4.2 The Company shall not give any information or will not, without the permission of the Fund, make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the advertising or sale of the Contracts Contracts, other than the information or representations contained in in: (a) the registration statement or prospectus for the TrustPortfolio prospectus(es), as such registration statement (b) Portfolio annual and prospectus may be amended or supplemented from time semi-annual reports to timeshareholders, or in reports or (c) proxy statements for the TrustPortfolios, or in or, (d) sales literature or other promotional material approved by the Trust Fund or its designee, except with the permission of the Trust.
4.3. 4.3 The Trust or its designee Fund shall furnish, or shall cause to be furnished, to the Company or its designeeprior to use, each piece of sales literature or other promotional material advertising prepared by the Fund in which the Company Company, the Contracts or its separate account(s) or Contracts Accounts, are named at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Company or its designee reasonably objects to such its use within five (5) Business Days after receipt of such material.
4.4. The Trust and 4.4 Neither the Fund nor the Underwriter shall not give any information or nor the Adviser will, without the permission of the Company, make any representations or statements on behalf of the Company Company, the Contracts, or the Accounts or concerning the Company, each Accountthe Contracts or the Accounts, in connection with the advertising or sale of the Contracts, other than the information or representations contained in a in: (a) the registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time (b) Account reports to timeshareholders, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or (c) in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. 4.5 The Trust Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reportsreports to shareholders, proxy statements, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, exemptions and requests for no-action letters, and all amendments to any of the aboveamendments, that relate to the Trust Portfolios or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authoritiesPortfolio Shares.
4.6. 4.6 The Company will provide to the Trust Fund, upon the Fund’s request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, and requests for no action letters, and all amendments to any of the aboveamendments, that relate to the investment Contracts.
4.7 Subject to the terms of Sections 4.1 and 4.2 of this Agreement, the Fund, the Underwriter and the Adviser hereby each consents in connection with the Trust under marketing of the Contracts to the Company’s use of their names or other identifying marks in connection with the marketing of the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IVThe Fund, the phrase "sales literature Underwriter and the Adviser may withdraw this authorization as to any particular use of any such name or other promotional material" includes, but is not limited to, identifying mxxx at any time: (i) upon a reasonable determination that such use would have a material adverse effect on its reputation or marketing efforts or its affiliates or (ii) if any of the following that refer Portfolios of the Fund cease to be available through the Company. Except as set forth in the previous sentence, the Company will not cause or permit, without prior written permission, the use, description or reference to a Fund party’s name, or to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materialsrelationship.
Appears in 1 contract
Samples: Fund Participation Agreement (C M Life Variable Life Separate Account I)
Sales Material and Information. Section 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterDistributor prior to use, each piece of sales literature or other promotional material advertising prepared by Company in which the Trust or the Underwriter Funds, the Adviser or the Distributor is named, at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Trust or its designee the Adviser reasonably objects to such its use within five ten (10) Business Days after following receipt of such materialby the Adviser.
Section 4.2. The Company shall will not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the advertising or sale of the Contracts Contracts, other than the information or representations contained in in: (a) the registration statement or prospectus for the TrustFunds’ prospectus(es), as such registration statement and prospectus may be amended or supplemented from time to time, or in (b) reports or to shareholders, (c) proxy statements for the TrustFunds or, or in (d) sales literature or other promotional material approved by the Trust Adviser, or its designee, except with the permission of the TrustDistributor.
Section 4.3. The Trust or its designee Distributor shall cause each Fund to furnish, or shall cause to be furnished, to Company and the Company or its designeeDistributor prior to use, each piece of sales literature or other promotional material advertising prepared by or for the Trust in which Company, the Company Contracts or its separate account(s) or Contracts Separate Accounts, are named at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Company or its designee reasonably objects to such its use within five ten (10) Business Days after following receipt of such materialby Company.
Section 4.4. The Trust and Neither the Underwriter shall not Trust, the Distributor, nor the Adviser will give any information or make any representations or statements on behalf of the Company or concerning the Company, each Accountthe Contracts, or the ContractsSeparate Accounts or concerning Company, the Contracts or the Separate Accounts, in connection with the advertising or sale of the Contracts or Fund shares, other than the information or representations contained in a in: (a) the registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to timetime (b) reports to shareholders, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or (c) in sales literature or other promotional material approved by Company under Section 4.3. The Fund and the Company Adviser and the Distributor shall comply with all applicable federal and state laws and regulations in connection with any efforts they make, directly, or its designeeindirectly, except with the permission to promote sales of the CompanyFund’s shares.
Section 4.5. The Trust will provide to the Company Company, upon Company’s request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reportsreports to shareholders, proxy statements, sales literature and other promotional materials, applications for exemptions, exemptions and requests for no-action letters, and all amendments to any of the aboveamendments, that relate to the Trust or its shares, Funds contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authoritiesauthority.
Section 4.6. The Company will provide to the Trust Trust, upon the Trust’s request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, and requests for no action letters, and all amendments to any of the aboveamendments, that relate to the investment in Company or the Trust under the Contracts, Contracts contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authoritiesauthority.
Section 4.7. For purposes of this Article IVSection, the phrase "terms, “sales literature literature,” “advertising,” or “other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspapernewspapers, magazinemagazines, or other periodicalperiodicals, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, electronic publications, websites, or other public media), sales literature ) (i.e., any written communication distributed or generally made generally available to customers or the publicpublic including electronic and website materials, including brochures, circulars, research reports, market letters, e-mail messages, form letters, newsletters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), ; educational or training materials or other communications distributed or made generally available to some or all agents or employees, and ; registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials, and any other material constituting sales literature or advertising under NASD rules, the 1933 Act, or the 1940 Act, including electronic and website materials.
Appears in 1 contract
Samples: Participation Agreement (Nyliac Variable Annuity Separate Account I)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust, the Adviser or their designee, drafts of prospectuses, statements of additional information, and other similar disclosure documents for the Accounts, as well as each piece of sales literature or other promotional material prepared by the Company or any person contracting with the Company to prepare such material in which the Trust Trust, the Adviser or the Underwriter Administrator is nameddescribed, at least five ten Business Days prior to its use. No such material shall be used if the Trust Trust, the Adviser, the Administrator or its their designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Neither the Company nor any person contracting with the Company to prepare sales literature or other promotional material shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust prospectuses, as such registration statement and prospectus or prospectuses may be amended or supplemented from time to time, or in reports to shareholders or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designee.
4.3. The Trust or its designee Adviser shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material prepared by the Trust in which the Company or its separate account(s) or Contracts Accounts, are named described at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust and Neither the Underwriter Trust, the Administrator, nor the Adviser shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement statement, prospectus, or prospectus other similar disclosure document for the Contracts, as such registration statement and prospectus statement, prospectus, or other similar disclosure document may be amended or supplemented from time to time, or in published reports or solicitations for voting instruction for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with promptly after the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Trust, upon the Trust’s request, at least one complete copy of all registration statements, prospectuses, statements of additional information, other similar disclosure documents, reports, solicitations for voting instructions, sales literature and other promotional materials, applications to the Securities and Exchange Commission for exemptions, requests to the Securities and Exchange Commission for no action “no-action” letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contractsan Account or Contract, contemporaneously with the filing of such document documents with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "“sales literature or other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trustfollowing: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape videotape, display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), and educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (One Group Investment Trust)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterFund or its designee, each piece of sales literature or other promotional material in which the Trust Fund or the Underwriter Adviser(s) is named, at least five Business Days prior to its use. No such material shall be used if the Trust Fund or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustFund shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the TrustFund, or in sales literature or other promotional material approved by the Trust Fund or its designee, except with the permission of the TrustFund.
4.3. The Trust Fund or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company and/ or its separate account(s) or Contracts are is named at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust Fund and the Underwriter Advisers shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Fund or its shares, contemporaneously with which are relevant to the filing of such document with Company or the Securities and Exchange Commission or other regulatory authoritiesContracts.
4.6. The Company will provide to the Trust Fund at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust Fund under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "“sales literature or other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust Fund or any affiliate of the TrustFund: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Lincoln Benefit Life Variable Life Account)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterFund or its designee, each piece of sales literature or other promotional material in which the Trust Fund or the Underwriter Adviser(s) is named, at least five ten Business Days prior to its use. No such material shall be used if the Trust Fund or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustFund shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the TrustFund, or in sales literature or other promotional material approved by the Trust Fund or its designee, except with the permission of the TrustFund.
4.3. The Trust Fund or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are is named at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust Fund and the Underwriter Advisers shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Fund or its shares, contemporaneously with which are relevant to the filing of such document with Company or the Securities and Exchange Commission or other regulatory authoritiesContracts.
4.6. The Company will provide to the Trust Fund at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust Fund under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust Fund or any affiliate of the TrustFund: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any ---- written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials. Such material does not include contractholder reports.
Appears in 1 contract
Samples: Participation Agreement (Mony America Variable Account L)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterFund or its designee, each piece of sales literature or other promotional material in which the Trust Fund or the Underwriter Adviser(s) is named, at least five ten Business Days prior to its use. No such material shall be used if the Trust Fund or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustFund shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the TrustFund, or in sales literature or other promotional material approved by the Trust Fund or its designee, except with the permission of the TrustFund.
4.3. The Trust Fund or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are is named at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust Fund and the Underwriter Advisers shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Fund or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Fund at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust Fund under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any andy of the following that refer to the Trust Fund or any affiliate of the TrustFund: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Penn Mutual Variable Annuity Account Iii)
Sales Material and Information. 4.1. 4.1 The Company shall furnish, or shall cause to be furnished, to the UnderwriterDistributor prior to use, each piece of sales literature or other promotional material advertising prepared by the Company in which the Trust Issuer, its investment adviser or the Underwriter Distributor is named, at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Trust or its designee Distributor reasonably objects to such its use within five ten (10) Business Days after following receipt of such materialby the Distributor.
4.2. 4.2 The Company shall not give any information or will not, without the permission of the Distributor, make any representations or statements on behalf of the Trust Distributor or concerning the Trust Issuer or its investment adviser in connection with the advertising or sale of the Contracts Contracts, other than the information or representations contained in in: (a) the registration statement or prospectus for the TrustSeries prospectus(es), as such registration statement (b) Series’ annual and prospectus may be amended or supplemented from time semi annual reports to timeshareholders, or in reports or (c) proxy statements for the TrustSeries, or in or, (d) sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustDistributor.
4.3. 4.3 The Trust or its designee Distributor shall furnish, or shall cause to be furnished, to the Company or its designeeprior to use, each piece of sales literature or other promotional material advertising prepared by the Distributor in which the Company Company, the Contracts or its separate account(s) or Contracts Separate Accounts, are named at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Company or its designee reasonably objects to such its use within five ten (10) Business Days after following receipt of such materialby the Company.
4.4. The Trust and 4.4 Neither American Century nor the Underwriter shall not give any information Issuer or its investment adviser will, without the permission of the Company, make any representations or statements on behalf of the Company Company, the Contracts, or the Separate Accounts or concerning the Company, each Accountthe Contracts or the Separate Accounts, in connection with the advertising or sale of the Contracts, other than the information or representations contained in a in: (a) the registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time (b) Separate Account reports to timeshareholders, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or (c) in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Fund Participation Agreement (Protective NY COLI VUL)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the Underwriter, each piece of sales literature or other promotional material in which the Trust or the Underwriter is named, at least five Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the Trust, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the Trust.
4.3. The Trust or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named at least five Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.4. The Trust and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "“sales literature or other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Variable Annuity Account A)
Sales Material and Information. 4.1. The 4.1 Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust or its designee prior to use, each piece of sales literature or other promotional material advertising prepared by Company in which the Trust Trust, the Adviser or the Underwriter Distributor is nameddescribed, at least five ten Business Days prior to its use. No such material shall sales literature or advertising will be used if the Trust Trust, the Adviser, or its designee the Distributor reasonably objects to such its use within five ten (10) Business Days after following receipt of such materialby the Trust.
4.2. The 4.2 Company shall will not give any information or make any representations or statements on behalf of the Trust Trust, the Distributor, or Advisor, or concerning the Trust in connection with Trust, the sale of the Contracts Distributor, or Advisor other than the information or representations contained in in: (a) the registration statement or prospectus for the TrustTrust prospectus(es), as such registration statement (b) Series’ annual and prospectus may be amended or supplemented from time semi annual reports to timeshareholders, or in reports or (c) proxy statements for the TrustSeries, or in or, (d) sales literature or other promotional material approved by the Trust the Distributor or its designeethe Advisor, except with as the permission of the Trustcase may be.
4.3. 4.3 The Trust or its designee Trust, the Distributor and the Advisor shall furnish, or shall cause to be furnished, to the Company or its designeeprior to use, each piece of sales literature or other promotional material advertising prepared by the Trust in which Company, the Company Contracts or its separate account(s) or Contracts Separate Accounts, are named at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Company or its designee reasonably objects to such its use within five ten (10) Business Days after following receipt of such materialby Company.
4.4. The 4.4 Neither the Trust and nor the Underwriter shall not give any information or Distributor nor the Adviser will, without the permission of Company, make any representations or statements on behalf of the Company or concerning the Company, each Accountthe Contracts, or the ContractsSeparate Accounts or concerning Company, the Contracts or the Separate Accounts, other than the information or representations contained in a in: (a) the registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time (b) Separate Account reports to timeshareholders, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or (c) in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (MTB Funds)
Sales Material and Information. 4.1. The Company shall furnish, furnish or shall cause to be furnished, to the Underwriter, each piece of sales literature or other promotional material in which the Trust or the Underwriter is named, at least five Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements statement on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the Trust, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales 10 literature or other promotional material approved by the Trust or its designee, except with the permission of the Trust.
4.3. The Trust or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named at least five Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.4. The Trust and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts exerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Ameritas Life Insurance Corp Separate Account LLVL)
Sales Material and Information. 4.1. The 4.1 Without limiting the scope or effect of Section 4.2 hereof, the Company shall furnish, or shall cause to be furnished, to the Underwriter, Underwriter each piece of sales literature or other promotional material (as defined hereafter) in which the Trust Trust, its investment adviser or the Underwriter is named, named at least five Business Days 15 days prior to its use. No such material shall be used if the Trust or its designee reasonably Underwriter objects to such use within five Business Days after receipt of such material.such
4.2. 4.2 The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in annual or semi-annual reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designeedesignee or by the Underwriter, except with the written permission of the TrustTrust or the Underwriter or the designee of either or as is required by law.
4.3. 4.3 The Trust Underwriter or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material prepared by the Underwriter in which the Company or and/or its separate account(s) or Contracts are is named at least five Business Days 15 days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.4. The 4.4 Neither the Trust and nor the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, Contracts other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the written permission of the CompanyCompany or as is required by law.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. 4.5 For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., i.e. any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materialsregistered representatives.
Appears in 1 contract
Samples: Participation Agreement (American General Life Insurance Co Separate Account Vl R)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterMFS or its designee, each piece of sales literature or other promotional material in which the Trust Funds, MFS, the Adviser, or the Underwriter is any affiliate of MFS are named, at least five (5) Business Days prior to its use. No such material shall be used if the Trust MFS or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements statement on behalf of the Trust Trust, the Funds, MFS, the Adviser, or any affiliate of MFS or concerning the Trust MFS or any other such entity in connection with the sale of the Contracts Policies other than the information or representations contained in the registration statement, prospectus or statement or prospectus of additional information for the TrustShares, as such registration statement, prospectus and statement and prospectus of additional information may be amended or supplemented from time to time, or in reports or proxy statements for the TrustMFS, or in sales literature or other promotional material approved by the Trust MFS or its designeedesignees, except with the permission of MFS or its designees. MFS or its designees each agrees to respond to any request for approval on a prompt and timely basis. The Company may not alter any material so provided by MFS or its designee (including, without limitation, presenting or delivering such material in a different medium, e.g., electronic or internet) without the prior written consent of MFS. The Company shall adopt and implement procedures reasonably designed to ensure that information concerning the Trust, the Funds, MFS or any of their affiliates which is intended for use only by brokers or agents selling the Policies (i.e., information that is not intended for distribution to Policy holders or prospective Policy holders) or any other appropriate institutions is so used, and neither the Trust, the Funds, the Adviser, MFS nor any of their affiliates shall be liable for any losses, damages or expenses relating to the improper use of such materials.
4.3. The Trust MFS or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named and/or the Accounts is named, at least five (5) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.4. The Trust and the Underwriter MFS shall not give any information or make any representations on behalf of the Company or concerning the Company, each Accountthe Accounts, or the Contracts, Policies in connection with the sale of the Policies other than the information or representations contained in a registration statement, prospectus, or statement or prospectus of additional information for the ContractsPolicies, as such registration statement, prospectus and statement and prospectus of additional information may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract ownersAccounts, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company. The Company or its designee agrees to respond to any request for approval on a prompt and timely basis. MFS may not alter any material so provided by the Company or its designee (including, without limitation, presenting or delivering such material in a different medium, e.g., electronic or internet) without the prior written consent of the Company. The parties hereto agree that this Section 4.4. is neither intended to designate nor otherwise imply that MFS is an underwriter or distributor of the Policies.
4.5. The Trust MFS will provide the Company with as much notice as is reasonably practicable of any proxy solicitation for any Fund, and of any material change in a Fund's registration statement, particularly any change resulting in change to the Company at least one complete copy of all registration statements, prospectuses, statements statement or prospectus or statement of additional information, reports, proxy statements, information for any Account. MFS will cooperate with the Company so as to enable the Company to solicit proxies from Policy owners or to make changes to its sales literature and or other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authoritiesmaterial in an orderly manner.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes purpose of this Article IVIV and Article VI, the phrase "sales literature or other promotional material" includes, includes but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), and sales literature (i.e.such as brochures, circulars, reprints or excerpts or any written communication other advertisement, sales literature, or published articles), distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterUnderwriter or its designee, each piece of sales literature or other promotional material in which the Trust any Fund or its investment adviser or the Underwriter is named, at least five fifteen Business Days prior to its use. No such material shall be used if the Trust Underwriter or its designee reasonably objects to such use within five fifteen Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust any Fund or concerning the Trust any Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the Trustsuch Fund shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trustsuch Fund, or in sales literature or other promotional material approved by the Trust Underwriter or its designee, except with the permission of the TrustUnderwriter or its designee.
4.3. Sales literature in which any Fund or its investment advisor is named shall be submitted to the SEC or FINRA for review as required by applicable law. Copies of any comments received shall be sent to the Underwriter or its designee.
4.4. The Trust Underwriter or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named any Account is named, at least five fifteen Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five fifteen Business Days after receipt of such material.
4.44.5. The Trust and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each any Account, or the Contracts, Contracts other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.54.6. The Trust Upon request and only if publicaly available, the Company will provide to the Company Underwriter at least one complete copy of all registration statements, prospectuses, statements Statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional informationAdditional Information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the ContractsContracts or any Account, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "“sales literature or other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees. Sales literature does not include separate account performance, or any materials related to the subaccount of the separate account, including fact sheets.
4.8. The Company shall have permission to use the Underwriters name and logo in the marketing of the Fund, provided that the Company has furnished to the Underwriter for review, prior to any use, all materials bearing the name or logo of the Underwriter (collectively “Materials”). The Company shall not use any Materials without receiving prior written approval therefor. If the Company or the Fund makes any unauthorized use of the Underwriters name or logo, the parties acknowledge that the Underwriter and its affiliates would suffer harm for which monetary damage may be inadequate and, thus, the Underwriter or its affiliates shall be entitled to seek equitable relief as well as other applicable remedies under this Agreement or under the law. Notwithstanding the foregoing, the Company may use the Underwriter’s name where such use is necessary to make the disclosures contained in the Fund material not misleading and the Company provides the Underwriter with notice of any required disclosure. Furthermore, the parties agree that the Company shall be entitled to use the Underwriter’s name when referring to the Underwriter as Fund’s investment adviser, as a simple statement of fact without the need to seek the Underwriter’s prior written consent. For purposes of this clause, the Underwriter must always be referred to as “FIDELITY DISTRIBUTORS COMPANY LLC”. The Underwriter must never be referred to solely as “Fidelity”. Upon termination of this Agreement, the Company and the Fund shall immediately cease all use of any Materials bearing the Underwriter’s name or logo, and registration statementsthe Company will either provide to the Underwriter all such Materials or certify as to the destruction of all such Materials. Notwithstanding clause 8.2 of the Agreement, prospectusesthe Company agrees to defend, statements indemnify and hold harmless the Underwriter (and its affiliates and their respective directors, officers, employees and agents) from and against any and all third party claims, actions, proceedings, judgments, liabilities, damages, losses, costs and expenses (including, without limitation, reasonable legal fees and expenses in relation thereto) directly suffered or incurred by them or any of additional informationthem, shareholder reports, and proxy materialsthat arise in connection with the Company’s use of any of the Underwriter’s name or logo.
Appears in 1 contract
Samples: Participation Agreement (Eaic Variable Contract Account A)
Sales Material and Information. 4.1. The Company 4.1 MMLIC shall furnish, or shall cause to be furnished, to the UnderwriterTrust or its designee, a copy of each piece of sales literature or other promotional material that MMLIC develops or proposes to use and in which the Trust (or a Portfolio thereof) or the Underwriter Distributor is namednamed in connection with the Contracts, at least five ten (10) Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.2. The Company 4.2 MMLIC shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement statement, including the prospectus or prospectus SAI for the TrustTrust shares, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, Distributor except with the permission of the TrustTrust or Distributor.
4.3. 4.3 The Trust or its designee the Distributor shall furnish, or shall cause to be furnished, to the Company or its designeeMMLIC, a copy of each piece of sales literature or other promotional material in which the Company or MMLIC and/or its separate account(s) or Contracts are is named at least five ten (10) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably MMLIC objects to such use within five (5) Business Days after receipt of such material.
4.4. 4.4 The Trust and or the Underwriter Distributor shall not give any information or make any representations on behalf of the Company MMLIC or concerning MMLIC, the Company, each Account, or the Contracts, Contracts other than the information or representations contained in a registration statement statement, including the prospectus or prospectus SAI for the Contracts, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company MMLIC or its designee, except with the permission of the CompanyMMLIC.
4.5. 4.5 The Trust will provide to the Company MMLIC at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statementsSAIs, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with Designated Portfolio(s) within a reasonable period of time following the filing of such document document(s) with the Securities and Exchange Commission SEC or NASD or other regulatory authorities.
4.6. The Company 4.6 MMLIC will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional informationSAIs, reports, solicitations for voting instructionsInstructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and all amendments to any of the above, that relate to the investment in Contracts or the Trust under the ContractsAccount, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authoritiesif requested by MMLIC.
4.7. 4.7 For purposes of this Article IVArticles IV and VIII, the phrase "“sales literature or and other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements :
a) Advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media; e.g., on-line networks such as the Internet or other electronic media), sales .
b) Sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational .
c) Educational or training materials or other communications distributed or made generally available to some or all agents or employees.
d) Shareholder reports.
e) Proxy materials (including solicitations for voting instructions).
f) Any other material constituting sales literature or advertising under the NASD rules, the 1933 Act or the 0000 Xxx.
4.8 At the request of any party to this Agreement, each other party will make available to the other party’s independent auditors and/or representative of the appropriate regulatory agencies, all records, data and registration statements, prospectuses, statements of additional information, shareholder reports, access to operating procedures that may be reasonably requested in connection with compliance and proxy materialsregulatory requirements related to this Agreement or any party’s obligations under this Agreement.
Appears in 1 contract
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the Underwriter, each piece of sales literature or other promotional material in which the Trust Fund or the Underwriter is named, at least five Business Days prior to its use. No such material shall be used if the Trust Fund or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement statements or prospectus prospectuses for the TrustFund, as such registration statement statements and prospectus prospectuses may be amended or supplemented from time to time, or in reports or proxy statements for the TrustFund, or in sales literature or other promotional material approved by the Trust Fund or its designee, except with the permission of the TrustFund.
4.3. The Trust Fund or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named at least five Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.4. The Trust Fund and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Upon request, the Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Fund or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Upon request, the Company will provide to the Trust Fund at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust Fund under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "“sales literature or other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust Fund or any affiliate of the TrustFund: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Variable Annuity Account A)
Sales Material and Information. 4.1. 4.1 The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust or its designee, each piece of sales literature or other promotional material in which the Trust or the Underwriter Adviser is named, at least five fifteen (15) Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects object to such use within five fifteen (15) Business Days after receipt of such material. The Trust, the Adviser, or the designee of either reserves the right to reasonably object to the continued use of any such sales literature or other promotional material in which the Trust or the Adviser is named, and no such material shall be used if the Trust, the Adviser, or the designee of either so objects.
4.2. 4.2 The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designeedesignee or by the Underwriter, except with the permission of the TrustTrust or the Adviser or the designee of either.
4.3. 4.3 The Trust Trust, the Adviser, or its the designee of either shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are Account(s), is named at least five fifteen (15) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects object to such use within five fifteen (15) Business Days after receipt of such material. Notwithstanding that the Company did not initially object, the Company reserves the right to object at any time thereafter to the continued use of any such sales literature or other promotional material in which the Company is named, and no such material shall be used thereafter if the Company so objects.
4.4. 4.4 The Trust and the Underwriter Adviser shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, Contracts other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. 4.5 The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements Statements of additional informationAdditional Information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and notices, orders or responses relating thereto and all supplements and amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with with, or the Securities and Exchange Commission issuance of such documents by, the SEC or other regulatory authorities.
4.6. The 4.6 Upon request, the Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements Statements of additional informationAdditional Information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and notices, orders or responses relating thereto and all supplements and amendments to any of the above, that relate to the investment in the Trust under the ContractsContracts or each Account, contemporaneously with the filing of such document with with, or the Securities and Exchange Commission issuance of such documents by, the SEC or other regulatory authorities.
4.7. 4.7 For purposes of this Article IV, the phrase "sales literature or other promotional material" : includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, telephone directories (other than routine listings), electronic or other public media), sales literature (i.e., any written or electronic communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, performance reports or summaries, form letters, telemarketing scripts, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements Statements of additional informationAdditional Information, shareholder reports, and proxy materials.
4.8 The Trust will provide the Company with as much notice as is reasonably practicable of any proxy solicitation for the Trust, and of any material change in the Trust's registration statement or prospectus, particularly any change resulting in a change to the registration statement or prospectus for any Account. The Trust will work with the Company so as to enable the Company to solicit proxies from Contract owners, or to make changes to its registration statement and prospectus, in an orderly manner. The Trust will make reasonable efforts to attempt to have changes affecting Contract prospectuses become effective simultaneously with the annual updates for such prospectuses.
Appears in 1 contract
Samples: Participation Agreement (Variable Annuity Life Insurance Co Separate Account A)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust or its designee, each piece of sales literature or other promotional material in which the Trust Trust, MFS, any other investment adviser to the Trust, or the Underwriter is any affiliate of MFS are named, at least five three (3) Business Days prior to its use. No such material shall be used if the Trust Trust, MFS, or its designee their respective designees reasonably objects to such use within five three (3) Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements statement on behalf of the Trust Trust, MFS, any other investment adviser to the Trust, or any affiliate of MFS or concerning the Trust or any other such entity in connection with the sale of the Contracts Policies other than the information or representations contained in the registration statement, prospectus or statement or prospectus of additional information for the TrustShares, as such registration statement, prospectus and statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the Trust.of
4.3. The Trust or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named and/or the Accounts is named, at least five three (3) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five three (3) Business Days after receipt of such material.
4.4. The Trust and MFS shall not give, and agree that the Underwriter shall not give give, any information or make any representations on behalf of the Company or concerning the Company, each Accountthe Accounts, or the Contracts, Policies in connection with the sale of the Policies other than the information or representations contained in a registration statement, prospectus, or statement or prospectus of additional information for the ContractsPolicies, as such registration statement, prospectus and statement and prospectus of additional information may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract ownersAccounts, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company. The Company or its designee agrees to respond to any request for approval on a prompt and timely basis. The parties hereto agree that this Section 4.4. is neither intended to designate nor otherwise imply that MFS is an underwriter or distributor of the Policies.
4.5. The Company and the Trust (or its designee in lieu of the Company or the Trust, as appropriate) will each provide to the Company other at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Policies, or to the Trust or its sharesShares, prior to or contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities. The Company and the Trust shall also each promptly inform the other of the results of any examination by the SEC (or other regulatory authorities) that relates to the Policies, the Trust or its Shares, and the party that was the subject of the examination shall provide the other party with a copy of relevant portions of any "deficiency letter" or other correspondence or written report regarding any such examination.
4.6. The Company Trust and MFS will provide the Company with as much notice as is reasonably practicable of any proxy solicitation for any Portfolio, and of any material change in the Trust's registration statement, particularly any change resulting in change to the Trust at least one complete copy of all registration statements, prospectuses, statements statement or prospectus or statement of additional information, reports, solicitations information for voting instructions, sales literature any Account. The Trust and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously MFS will cooperate with the filing Company so as to enable the Company to solicit proxies from Policy owners or to make changes to its prospectus, statement of such document with the Securities additional information or registration statement, in an orderly manner. The Trust and Exchange Commission or other regulatory authorities.MFS will make reasonable efforts to attempt to have changes
4.7. For purposes purpose of this Article IVIV and Article VIII, the phrase "sales literature or other promotional material" includes, includes but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), and sales literature (i.e.such as brochures, circulars, reprints or excerpts or any written communication other advertisement, sales literature, or published articles), distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Fulcrum Separate Account of First Allmerica Fin Life Ins Co)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterPFD or its designee, each piece of sales literature or other promotional material in which the Trust Trust, PIM, any other investment adviser to the Trust, or the Underwriter is any affiliate of PIM are named, at least five ten (10) Business Days prior to its use. No such material shall be used if the Trust PFD or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements representation on behalf of the Trust, PIM, any other investment adviser or subadviser to the Trust or any affiliate of PIM and shall not give any information on behalf of the Trust, PIM, any other investment adviser or subadviser to the Trust, or any affiliate of PIM or concerning the Trust or any other such entity in connection with the sale of the Contracts other than the information or representations contained in the registration statement, prospectus or statement or prospectus of additional information for the TrustShares, as such registration statement, prospectus and statement and prospectus of additional information may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in published reports for the Trust which are in the public domain, or in sales literature or other promotional material approved by the Trust Trust, PIM, PFD or its designeetheir respective designees, except with the permission of the Trust, PIM or their respective designees. The Trust, PIM, PFD or their respective designees each agrees to respond to any request for approval on a prompt and timely basis. The Company shall adopt and implement procedures reasonably designed to ensure that information concerning the Trust, PIM, PFD or any of their affiliates which is intended for use only by brokers or agents selling the Contracts (i.e., information that is not intended for distribution to Contract owners or prospective Contract owners) is so used, and neither the Trust, PIM, PFD nor any of their affiliates shall be liable for any losses, damages or expenses relating to the improper use of such broker only materials.
4.3. The Trust or its designee PFD shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named and/or the Accounts is named, at least five ten (10) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.4. The Trust Trust, PIM and the Underwriter PFD shall not give any information or make any representations on behalf of the Company or concerning the Company, each Accountthe Accounts, or the Contracts, Contracts in connection with the sale of the Contracts other than the information or representations contained in a registration statement, prospectus, or statement or prospectus of additional information for the Contracts, as such registration statement, prospectus and statement and prospectus of additional information may be amended or supplemented from time to time, or in reports for the Accounts, or in published reports for each Account the Accounts which are in the public domain or approved by the Company for distribution to Contract ownersdomain, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company. The Company or its designee agrees to respond to any request for approval on a prompt and timely basis. The parties hereto agree that this Section 4.4. is neither intended to designate nor otherwise imply that PIM is an underwriter or distributor of the Contracts.
4.5. The Company and the Trust will provide shall provide, or shall cause to be provided, to the Company other at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Contracts, or to the Trust or its sharesShares, prior to or contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes purpose of this Article IVIV and Article VIII, the phrase "sales literature or other promotional material" includes, includes but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone telephone, electronic messages or tape recording, videotape display, signs or billboards, motion pictures, or other public media, including, for example, on-line networks such as the Internet or other electronic media), and sales literature (i.e.such as brochures, electronic messages, circulars, reprints or excerpts or any written communication other advertisement, sales literature, or published articles), distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, proxy materials (including solicitations for voting instructions) and proxy materialsany other material constituting sales literature or advertising under the NASDR Conduct Rules, the 1933 Act or the 1940 Act.
4.7. Ax xxx xxquest of any party to this Agreement, each other party will make available to the other party's independent auditors and/or representative of the appropriate regulatory agencies, all records, data, access to operating procedures that may be reasonably requested in connection with compliance and regulatory requirements related to the Agreement or any party's obligations under this Agreement.
4.8. Subject to the terms of Sections 4.1 and 4.2 of this Agreement, the Trust (and its Portfolios), PIM and PFD each consents, in connection with the marketing of the Contracts, to the Company's use of their names or other identifying marks, including Pioneer Investments(R) and Pioneer's sail logo, in connection with the marketing of the Contracts. The Trust, PIM or PFD or their affiliates may withdraw this authorization as to any particular use of any such name or identifying mark at any time: (i) upon a xxxxonable determination that such use would have a material adverse effect on its reputation or marketing efforts or its affiliates or (ii) if any of the Portfolios of the Trust cease to be available through the Company. Except as set forth in the previous sentence, the Company will not cause or permit, without prior written permission, the use, description or reference to a Pioneer party's name, or to the relationship contemplated in this Agreement, in any advertisement, or promotional materials or activities, including without limitation, any advertisement or promotional materials published, distributed, or made available, or any activity conducted through, the Internet or any other electronic medium.
4.9. PIM will be responsible for calculating the performance information for the Trust. PIM and the Trust agree to provide the Company with Trust performance information on a timely basis to enable the Company to calculate performance information for the Contracts in accordance with applicable state and federal law. The Company will be responsible for calculating the performance information for the Contracts. The Company agrees to provide the Trust with Contract performance information on a timely basis to enable the Trust to disclose performance information for the Contracts in accordance with applicable state and federal law.
Appears in 1 contract
Samples: Participation Agreement (Ids Life of New York Flexible Portfolio Annuity Account)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the Underwriter, each piece of sales literature or other promotional material in which the Trust or the Underwriter is named, at least five Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. 4.1 The Company shall not give any information or make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus or SAI for the TrustPortfolio shares, as such registration statement and prospectus or SAI may be amended or supplemented from time to time, or in reports or proxy statements for the TrustFund, or in sales literature or other promotional material approved by the Trust or its designeeUnderwriter, except with the permission of the TrustUnderwriter. In cases requiring such permission, the Company shall furnish, or shall cause to be furnished, to the Underwriter each piece of sales literature or other promotional material that it develops or uses and in which the Fund is named at least ten (10) calendar days prior to its use. No such material shall be used if the Underwriter reasonably objects to such use within five (5) calendar days after receipt of such material. The Company and its affiliates and agents will distribute Fund information only in compliance with applicable laws, including NASD rules and regulations.
4.34.2 The Underwriter will provide to the Company at least one complete copy of all registration statements, profiles, prospectuses, SAIs, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Fund or Portfolio shares, promptly after the filing of such document(s) with the SEC or other regulatory authorities. The Trust Underwriter will provide the Company with as much notice as is reasonably practicable of any material change in the Fund’s registration statement, particularly any change resulting in a change to the registration statement or prospectus for any Account. The Underwriter will work with the Company so as to enable the Company to make changes to its prospectus or registration statement, in an orderly manner. The Underwriter will make reasonable efforts to attempt to have changes affecting Contract prospectuses become effective simultaneously with the annual updates for such prospectuses.
4.3 The Company will provide to the Underwriter at least one complete copy of all registration statements, prospectuses (which shall include an offering memorandum, if any, if the Contracts issued by the Company or interests therein are not registered under the 1933 Act), SAIs, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Contracts or the Account, promptly after the filing of such document(s) with the SEC or other regulatory authorities. The Company shall provide to the Underwriter any complaints received from the Contract owners pertaining to the Fund or a Portfolio.
4.4 The Underwriter or its designee shall furnish, or shall cause to be furnished, to the Company or its designeeCompany, each piece of sales literature or other promotional material that it develops or uses and in which the Company or Company, and/or its separate account(s) or Contracts are Account, is named at least five Business Days fifteen calendar days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days ten (10) calendar days after receipt of such material. The Company reserves the right to reasonably object to the continued use of such material and no such material shall be used if the Company so objects.
4.4. 4.5 The Trust and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each the Account, or the Contracts, or any certificates thereunder other than the information or representations contained in a registration statement the Contracts or prospectus for the Contractsany certificates thereunder, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each the Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.54.6 The Underwriter will provide prospectuses, statements of additional information and shareholder reports for the Portfolios in such quantities and at such times as the Company reasonably requests. If requested by the Company in lieu thereof, the Underwriter shall provide such documentation (including a final copy of the new prospectus on diskette at the Fund’s or Underwriter’s expense) and other assistance as is reasonably necessary in order for the Company once each year (or more frequently if the prospectus for the Fund is amended) to have the prospectus for the Contracts and the Fund’s prospectus printed together in one document (such printing of the Fund’s prospectus and profiles for existing Contract owners to be at the Fund’s or Underwriter’s expense). The Trust Fund’s prospectus shall state that the current Statement of Additional Information (“SAI”) for the Fund is available. The Underwriter shall provide the Company with information regarding the Fund’s expenses, which information may include a table of fees and related narrative disclosure for use in any prospectus or other descriptive document relating to a Contract. The Company agrees that it will use such Fund information in the form provided. The Company shall provide prior written notice of any proposed modification of such Fund information, which notice will describe in reasonable detail the manner in which the Company proposes to modify the Fund information, and agrees that it may not modify such Fund information in any way without the prior written consent of the Underwriter.
4.7 The Company shall be solely responsible for the timely delivery to Contract owners of (i) Fund prospectuses, including all annual revised copies of the prospectus and other revisions, to Contract owners invested in the Fund, (ii) semi-annual and annual shareholder reports and (iii) proxy material, as required by applicable law. The Company shall send an SAI, as requested by a Contract owner, within three (3) business days of the receipt of Contract owner request.
4.8 The Company will provide to the Company Underwriter at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action lettersif any, and all amendments to any of the above, that relate to any of the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authoritiesPortfolios.
4.7. 4.9 The Company shall bear the expenses of distributing the Fund’s prospectus to owners of Contracts issued by the Company and of distributing the Fund’s proxy materials and reports to such Contract owners, and the Company shall bear the expense of printing copies of 11 the Fund’s prospectus and profiles that are used in connection with offering the Contracts issued by the Company.
4.10 For purposes of this Article IV, the phrase "“sales literature or and other promotional material" materials” includes, but is not limited to, any of the following that refer to the Trust Fund or any affiliate of the TrustFund: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional informationSAIs, shareholder reports, and proxy materials, and any other communications distributed or made generally available with regard to the Portfolios.
Appears in 1 contract
Samples: Participation Agreement (TIAA Separate Account VA-3)
Sales Material and Information. 4.1. The Company 4.1 MMLIC shall furnish, or shall cause to be furnished, to the UnderwriterTrust or its designee, a copy of each piece of sales literature or other promotional material that MMLIC develops or proposes to use and in which the Trust (or a Portfolio thereof) or the Underwriter Distributor is namednamed in connection with the Contracts, at least five ten (10) Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.2. The Company 4.2 MMLIC shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement statement, including the prospectus or prospectus SAI for the TrustTrust shares, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, Distributor except with the permission of the TrustTrust or Distributor.
4.3. 4.3 The Trust or its designee the Distributor shall furnish, or shall cause to be furnished, to the Company or its designeeMMLIC, a copy of each piece of sales literature or other promotional material in which the Company or MMLIC and/or its separate account(s) or Contracts are is named at least five ten (10) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably MMLIC objects to such use within five (5) Business Days after receipt of such material.
4.4. 4.4 The Trust and or the Underwriter Distributor shall not give any information or make any representations on behalf of the Company MMLIC or concerning MMLIC, the Company, each Account, or the Contracts, Contracts other than the information or representations contained in a registration statement statement, including the prospectus or prospectus SAI for the Contracts, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company MMLIC or its designee, except with the permission of the CompanyMMLIC.
4.5. 4.5 The Trust will provide to the Company MMLIC at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statementsSAIs, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with Designated Portfolio(s) within a reasonable period of time following the filing of such document document(s) with the Securities and Exchange Commission SEC or NASD or other regulatory authorities.
4.6. The Company 4.6 MMLIC will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional informationSAIs, reports, solicitations for voting instructionsInstructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and all amendments to any of the above, that relate to the investment in Contracts or the Trust under the ContractsAccount, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authoritiesif requested by MMLIC.
4.7. 4.7 For purposes of this Article IVArticles IV and VIII, the phrase "sales literature or and other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements :
a) Advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media; e.g., on-line networks such as the Internet or other electronic media), sales .
b) Sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational .
c) Educational or training materials or other communications distributed or made generally available to some or all agents or employees.
d) Shareholder reports.
e) Proxy materials (including solicitations for voting instructions).
f) Any other material constituting sales literature or advertising under the NASD rules, the 1933 Act or the 1940 Act.
4.8 At the request of any party to this Agreement, each other party wxxx xxxx available to the other party's independent auditors and/or representative of the appropriate regulatory agencies, all records, data and registration statements, prospectuses, statements of additional information, shareholder reports, access to operating procedures that may be reasonably requested in connection with compliance and proxy materialsregulatory requirements related to this Agreement or any party's obligations under this Agreement.
Appears in 1 contract
Samples: Fund Participation Agreement (Ing Variable Products Trust)
Sales Material and Information. 4.1. The Company Society shall furnish, or shall cause to be furnished, to the UnderwriterTrust, the Advisers or their designee, drafts of the separate accounts prospectuses and statements of additional information and each piece of sales literature or other promotional material prepared by the Society or any person contracting with the Society to prepare such material in which the Trust Trust, the Advisers or the Underwriter Administrator is nameddescribed, at least five ten Business Days prior to its use. No such material shall be used if the Trust Trust, the Advisers, the Administrator or its their designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Company Neither the Society nor any person contracting with the Society to prepare sales literature or other promotional material shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust prospectus, as such registration statement and or Trust prospectus may be amended or supplemented from time to time, or in reports to shareholders or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designee.
4.3. The Trust or its designee Administrator shall furnish, or shall cause to be furnished, to the Company Society or its designee, each piece of sales literature or other promotional material prepared by the Trust in which the Company Society or its separate account(s) or Contracts Accounts, are named described at least five ten Business Days prior to its use. No such material shall be used if the Company Society or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust and Neither the Underwriter Trust, the Administrator, nor the Advisers shall not give any information or make any representations on behalf of the Company Society or concerning the CompanySociety, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and or prospectus may be amended or supplemented from time to time, or in published reports or solicitations for voting instruction for each Account which are in the public domain or approved by the Company Society for distribution to Contract owners, or in sales literature or other promotional material approved by the Company Society or its designee, except with the permission of the CompanySociety.
4.5. The Trust will provide to the Company Society, upon its request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with promptly after the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company Society will provide to the Trust Trust, upon the Trust’s request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contractsan Account or Contract, contemporaneously prior to with the filing of such document documents with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV4, the phrase "“sales literature or other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trustfollowing: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, internet, telephone or tape recording, videotape videotape, display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), and educational or training materials or other communications distributed or made generally available to some or all agents or employees, .
4.8. The Society and registration statements, prospectuses, statements its agents shall make no representations concerning the Trust except those contained in the then-current prospectus and statement of additional information, shareholder reports, information of the Trust and proxy materialsin current printed sales literature of the Trust.
Appears in 1 contract
Samples: Fund Participation Agreement (Modern Woodmen of America Variable Annuity Account)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the Underwriter, each piece of sales literature or other promotional material in which the Trust or the Underwriter is named, at least five Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Company MONY shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with its receipt of net premiums in connection with the sale of the MONY Contracts other than the information or representations contained in or accurately derived from the registration statement Registration Statement, prospectus or prospectus Statement of Additional Information for the Trust, as such registration statement and Registration Statement, prospectus or Statement of Additional Information may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designees.
4.34.2. The Trust or its designee the Distributors, or their respective designees, shall furnish, or shall cause to be furnished, to the Company MONY or its designeedesignees, the form of each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are MONY is named at least five Business Days prior to its use. No such material shall be used if the Company MONY or its designee designees reasonably objects object to such its use within five Business Days after receipt of such material.
4.44.3. The Trust and the Underwriter Distributors shall not give any information or make any representations on behalf of the Company MONY or concerning MONY, the Company, each Account, or the Contracts, MONY Contracts other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented accurately derived from time to time, or in published reports for each the Account which are in the public domain or approved by the Company MONY for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designeeContractowners, except with the permission of the CompanyMONY.
4.54.4. The Trust will shall provide to the Company MONY at least one complete copy of all registration statementsRegistration Statements, prospectuses, statements Statements of additional informationAdditional Information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC, the NASD, or other regulatory authorities.
4.64.5. The Company will MONY shall provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and all amendments to any of the above, that relate to the investment in MONY Contracts or the Trust under Account if such document also relates to the ContractsTrust, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC, the NASD, or other regulatory authorities.
4.74.6. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, including materials published or designed for use in, in a newspaper, magazine, or other periodical, radio, television, telephone or tape or electronic recording, videotape display, signs or billboards, motion pictures, electronic messages or communications or other public media, including a publicly available internet address or website), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published articlearticle or internet site or website), educational or training materials or other communications 7 distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements Statements of additional informationAdditional Information, shareholder reports, and proxy materials. However, it is anticipated that materials provided solely: (a) internally to MONY's or a Distributor's own employees or counsel; or (b) to certain designated third parties and that are not designed to be provided or communicated in any manner to the general public (e.g., training materials provided to distributors or agents) will not be filed with the SEC, the NASD, or any state securities or insurance regulatory authorities, although such materials will be prepared in accordance with applicable laws.
Appears in 1 contract
Samples: Participation Agreement (Mony America Variable Account A)
Sales Material and Information. 4.1. 4.1 The Company shall furnish, or shall cause to be furnished, to the UnderwriterDistributor prior to use, each piece of sales literature or other promotional material advertising prepared by the Company in which the Trust Issuer, its investment adviser or the Underwriter Distributor is named, at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Trust or its designee Distributor reasonably objects to such its use within five ten (10) Business Days after following receipt of such materialby the Distributor.
4.2. 4.2 The Company shall not give any information or will not, without the permission of the Distributor, make any representations or statements on behalf of the Trust Distributor or concerning the Trust Issuer or its investment adviser in connection with the advertising or sale of the Contracts Contracts, other than the information or representations contained in in: (a) the registration statement or prospectus for the TrustSeries Prospectus(es), as such registration statement (b) Series' annual and prospectus may be amended or supplemented from time semi annual reports to timeshareholders, or in reports or (c) proxy statements for the TrustSeries, or in or, (d) sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustDistributor.
4.3. 4.3 The Trust or its designee Distributor shall furnish, or shall cause to be furnished, to the Company or its designeeprior to use, each piece of sales literature or other promotional material advertising prepared by theDistributor in which the Company Company, the Contracts or its separate account(s) or Contracts Separate Accounts, are named at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Company or its designee reasonably objects to such its use within five ten (10) Business Days after following receipt of such materialby the Company.
4.4. The Trust and 4.4 Neither American Century nor the Underwriter shall not give any information or Issuer will, without the permission of the Company, make any representations or statements on behalf of the Company Company, the Contracts, or the Separate Accounts or concerning the Company, each Accountthe Contracts or the Separate Accounts, in connection with the advertising or sale of the Contracts, other than the information or representations contained in a in: (a) the registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time (b) Separate Account reports to timeshareholders, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or (c) in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Fund Participation Agreement (Forethought Life Insurance Co Separate Account A)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterFund or its designee, each piece of sales literature or other promotional material in which the Trust Fund or its investment adviser or the Underwriter underwriter is named, at least five fifteen Business Days prior to its use. No such material shall be used if the Trust Fund or its designee reasonably objects object to such use within five fifteen Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the Trust, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the Trust.the
4.3. The Trust Fund, and the Adviser, or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are ), is named at least five fifteen Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects object to such use within five fifteen Business Days after receipt of such material.
4.4. The Trust Fund and the Underwriter Adviser shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, Contracts other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements Statements of additional informationAdditional Information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Fund or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Fund at least one complete copy of all registration statements, prospectuses, statements Statements of additional informationAdditional Information, reports, reports solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the ContractsContracts or each Account, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material materials published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents agents, registered representatives or employees, and registration statements, prospectuses, statements Statements of additional informationAdditional Information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Corporate Sponsored Vul Separate Account I)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the Underwriter, each piece of sales literature or other promotional material in which the Trust or the Underwriter is named, at least five Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the Trust, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the Trust.
4.3. The Trust or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named at least five Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.4. The Trust and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, the Internet or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Annuity Investors Variable Account C)
Sales Material and Information. 4.1. 4.1 The Company shall furnish, or shall cause to be furnished, to the Underwritereach Trust or its designee, a copy of each piece of sales literature or other promotional material that the Company develops or proposes to use and in which the each Trust (or a Portfolio thereof) or the Underwriter Distributor is namednamed in connection with the Contracts, at least five ten (10) Business Days prior to its use. No such material shall be used if the each Trust or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.2. 4.2 The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the any Trust in connection with the sale of the Contracts other than the information or representations contained in the respective registration statement statements, including the prospectus or prospectus SAI for the Trusteach Trust shares, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the each Trust or its designee, the Distributor except with the permission of each Trust or the TrustDistributor.
4.3. The 4.3 Each Trust or its designee the Distributor shall furnish, or shall cause to be furnished, to the Company or its designeeCompany, a copy of each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are is named at least five ten (10) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five (5) Business Days after receipt of such material.
4.4. The 4.4 Each Trust and or the Underwriter Distributor shall not give any information or make any representations on behalf of the Company or concerning the Company, each Accountthe Account(s), or the Contracts, Contracts other than the information or representations contained in a registration statement statement, including the prospectus or prospectus SAI for the Contracts, as such registration statement and prospectus the same may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The 4.5 Each Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statementsSAIs, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with Designated Portfolio(s) within a reasonable period of time following the filing of such document document(s) with the Securities and Exchange Commission SEC or FINRA or other regulatory authorities.
4.6. 4.6 The Company will provide to the each Trust at least one complete copy of all registration statements, prospectuses, statements of additional informationSAIs, reports, solicitations for voting instructionsInstructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and all amendments to any of the above, that relate to the investment in Contracts or the Trust under Account(s), if requested by the Contracts, contemporaneously with the filing Company within a reasonable period of time after such document with the Securities and Exchange Commission or other regulatory authoritiesrequest.
4.7. 4.7 For purposes of this Article IVArticles IV and VIII, the phrase "“sales literature or and other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements :
a) Advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media; e.g., on-line networks such as the Internet or other electronic media), sales .
b) Sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational .
c) Educational or training materials or other communications distributed or made generally available to some or all agents or employees.
d) Shareholder reports.
e) Proxy materials (including solicitations for voting instructions).
f) Any other material constituting sales literature or advertising under the FINRA rules, the 1933 Act or the 0000 Xxx.
4.8 At the request of any party to this Agreement, each other party will make available to the other party’s independent auditors and/or representative of the appropriate regulatory agencies, all records, data and registration statementsaccess to operating procedures that may be reasonably requested in connection with compliance and regulatory requirements related to this Agreement or any party’s obligations under this Agreement; provided, prospectuses, statements however that any information provided under this section shall be considered confidential information subject to Article X of additional information, shareholder reports, and proxy materialsthis agreement.
Appears in 1 contract
Samples: Participation Agreement (Corporate Sponsored Vul Separate Account I)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust or its designee prior to use, each piece of sales literature or other promotional material advertising prepared by the Company in which the Trust Trust, the Adviser or the Underwriter Distributor is nameddescribed, at least five ten Business Days prior to its it is use. No such material shall sales literature or advertising will be used if the Trust Trust, the Adviser, or its designee the Distributor reasonably objects to such its use within five ten (10) Business Days after receipt of such materialby the Trust.
4.2. The Company shall will not give any information or make any representations or statements on behalf of the Trust Trust, the Distributor, or Advisor, or concerning the Trust in connection with Trust, the sale of the Contracts Distributor, or Advisor other than the information or representations contained in in: (a) the registration statement or prospectus for the TrustTrust prospectus(es), as such registration statement (b) Series' annual and prospectus may be amended or supplemented from time semi annual reports to timeshareholders, or in reports or (c) proxy statements for the TrustSeries, or in or, (d) sales literature or other promotional material approved by the Trust the Distributor or its designeethe Advisor, except with as the permission of the Trustcase may be.
4.3. The Trust or its designee Trust, the Distributor and the Adviser shall furnish, or shall cause to be furnished, to the Company or its designeeprior to use, each piece of sales literature or other promotional material advertising prepared by the Trust in which Company, the Company Contracts or its separate account(s) or Contracts Separate Accounts, are named at least five Business Days prior to its usedescribed. No such material shall sales literature or advertising will be used if the Company or its designee reasonably objects to such its use within five ten (10) Business Days after receipt of such materialby Company.
4.4. The Neither the Trust and nor the Underwriter shall not give any information or Distributor nor the Adviser will, without the permission of Company, make any representations or statements on behalf of the Company or concerning the Company, each Accountthe Contracts, or the ContractsSeparate Accounts or concerning Company, the Contracts or the Separate Accounts, other than the information or representations contained in a in: (a) the registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time (b) Separate Account reports to timeshareholders, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or (c) in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reportsreports to shareholders, proxy statements, solicitations for voting instructions, sales literature and or other promotional materials, applications for exemptions, exemptions and requests for no-action letters, and all amendments to any of the aboveamendments, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Trust, upon the Trust's request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and or other promotional materials, applications for exemptions, and requests for no action letters, and all amendments to any of the aboveamendments, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authoritiesits shares.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or Trust, any affiliate of or the Trust, the Cotnracts, the Company or the Accounts: advertisements (such as material published, or designed for use in, in a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., i.e. any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, literature or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements Statements of additional informationAdditional Information, shareholder reports, and proxy materials.
Appears in 1 contract
Sales Material and Information. 4.1. The Company shall furnish or shall cause to be furnished, to the Trust or its designee a copy of each prospectus or statement of additional information in which the Trust or the Adviser is named at least fifteen Business Days prior to the filing of such document with the Securities and Exchange Commission. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust or its designee, each piece of sales literature or other promotional material in which the Trust or the Adviser or the Underwriter is named, at least five ten Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designee.
4.3. The Trust Trust, or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or and/or its separate account(s) or Contracts are ), is named at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five ten Business Days after receipt of such material.
4.4. The Trust shall not, and the Trust shall cause the Adviser and the Underwriter shall to not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, Contracts other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements Statements of additional informationAdditional Information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements Statements of additional informationAdditional Information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the ContractsContracts or each Account, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements Statements of additional informationAdditional Information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (PFL Retirement Builder Variable Annuity Account)
Sales Material and Information. [page break]
4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterTrust, the Adviser or their designee, drafts of the separate accounts prospectuses and statements of additional information and each piece of sales literature or other promotional material prepared by the Company or any person contracting with the Company to prepare such material in which the Trust Trust, the Adviser or the Underwriter Administrator is nameddescribed, at least five ten Business Days prior to its use. No such material shall be used if the Trust Trust, the Adviser, the Administrator or its their designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Neither the Company nor any person contracting with the Company to prepare sales literature or other promotional material shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the TrustTrust prospectus, as such registration statement and or Trust prospectus may be amended or supplemented from time to time, or in reports to shareholders or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designee.
4.3. The Trust or its designee Administrator shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material prepared by the Trust in which the Company or its separate account(s) or Contracts Accounts, are named described at least five ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.4. The Trust and Neither the Underwriter Trust, the Administrator, nor the Adviser shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and or prospectus may be amended or supplemented from time to time, or in published reports or solicitations for voting instruction for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company Company, upon its request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with promptly after the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust Trust, upon the Trust’s request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with an Account or Contract promptly after the filing of such document documents with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV4, the phrase "“sales literature or other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trustfollowing: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, internet, telephone or tape recording, videotape videotape, display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), and educational or training materials or other communications distributed or made generally available to some or all agents or employees, .
4.8. The Company and registration statements, prospectuses, statements its agents shall make no representations concerning the Trust except those contained in the then-current prospectus and statement of additional information, shareholder reports, information of the Trust and proxy materialsin current printed sales literature of the Trust.
Appears in 1 contract
Samples: Fund Participation Agreement (Massachusetts Mutual Variable Life Separate Account I)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the UnderwriterUnderwriter , each piece of sales literature or other promotional material in which the Trust Fund or the Underwriter is namedare named , at least five 10 Business Days prior to its use. No such material shall be used if the Trust Fund or its designee reasonably objects to such use within five IO Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust Fund or concerning the Trust Fund in connection with the sale of the Contracts other than the information or representations contained in the registration statement statements or prospectus prospectuses for the TrustFund, as such registration statement statements and prospectus prospectuses may be amended or supplemented from time to time, or in reports or proxy statements for the TrustFunds , or in sales literature or other promotional material approved by the Trust Fund or its designeedesignee , except with the permission of the TrustFund.
4.3. The Trust Fund or its itsr designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named at least five IO Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five IO Business Days after receipt of such material.
4.4. The Trust Fund and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust Upon request, the Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust Fund or its Series’ shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Upon request, the Company will provide to the Trust Fund at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust Fund under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "“sales literature or other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust Fund or any affiliate of the TrustFund: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (Guardian Separate Account R)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the Underwritereach Trust or its designee, each piece of sales literature or other promotional material in which the Trust such Trust, MFS, any other 170757 [page break] investment adviser to such Trust, or the Underwriter any affiliate of MFD is named, at least five three (3) Business Days prior to its use. No such material shall be used if the Trust such Trust, MFD, or its designee their respective designees reasonably objects to such use within five three (3) Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations representation or statements statement on behalf of the any Trust, MFS, or other investment adviser to any Trust, or any affiliate of MFD, or make any representation or statement concerning such Trust or concerning the Trust any other such entity in connection with the sale of the Contracts Policies, other than the information or representations contained in in: (i) the registration statement, prospectus or statement or prospectus of additional information for the TrustShares, as such registration statement, prospectus and statement and prospectus of additional information may be amended or supplemented from time to time, or in ; (ii) reports or proxy statements for the such Trust, ; or in (iii) sales literature or other promotional material provided or approved by the Trust such Trust, MFD or its designeetheir respective designees, except except, in any case, with the permission of such Trust, MFD or their respective designees. Each Trust and MFD agrees to respond, or to cause their respective designees to respond, to any request for approval on a prompt and timely basis. The Company shall adopt and implement procedures reasonably designed to ensure that information concerning a Trust, MFD or any of their affiliates which is intended for use only by brokers or agents selling the TrustPolicies (i.e., information that is not intended for distribution to Policyowners or prospective Policyowners) is so used, and neither the Trusts, MFD nor any of their affiliates shall be liable for any losses, damages or expenses relating to the improper use of such broker- only materials.
4.3. The Each Trust or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named and/or the Accounts is named, at least five three (3) Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five three (3) Business Days after receipt of such material.
4.4. The Trust Trusts and the Underwriter MFD shall not give any information or make any representations on behalf of the Company or concerning the Company, each Accountthe Accounts, or the Contracts, Policies in connection with the sale of the Policies other than the information or representations contained in a registration statement, prospectus, or statement or prospectus of additional information for the ContractsPolicies, as such registration statement, prospectus and statement and prospectus of additional information may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract ownersAccounts, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company. The Company agrees to respond, or cause its designee to respond, to any request for approval on a prompt and timely basis. The Trusts and MFD may not alter any material so provided by the Company or its designee (including, without limitation, presenting or delivering such material in a different medium, e.g., electronic or internet) without the prior written consent of the Company. The parties hereto agree that this Section 4.4. is neither intended to designate nor otherwise imply that MFD is an underwriter or distributor of the Policies.
4.5. The Company and each Trust (or its designee in lieu of the Company or such Trust, as appropriate) will each provide to the Company other, upon request, at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Policies, or to such Trust or its sharesShares, prior to or contemporaneously with the filing of such document with the Securities and Exchange Commission SEC or other regulatory authorities.
4.6. The Company will provide to and a Trust shall also each promptly inform the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to results of any examination by the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC (or other regulatory authorities) that relates to the Policies, such Trust or its Shares, and the party that was the subject of the examination shall provide the other party with a copy of relevant portions of any “deficiency letter” or other correspondence or written report regarding any such examination. 170757 [page break]
4.6. Subject to and in accordance with Sections 4.2 and 4.4 of this Agreement, the Trust and MFD hereby each consent in connection with the marketing of the Policies to the Company’s use of their names and other identifying marks in connection with the marketing of the Policies. The Trust and MFD may withdraw this authorization as to any particular use of any such name or identifying xxxx at any time in their sole discretion. Except set forth in the previous sentence, the Company will not cause or permit without prior written permission, the use, description or reference to a Trust party’s name, or to the relationship.
4.7. Each Trust and MFD will provide the Company with as much notice as is reasonably practicable of any proxy solicitation for any Portfolio, and of any material change in such Trust’s registration statement, particularly any change resulting in change to the registration statement or summary prospectus, statutory prospectus or statement of additional information for any Account. Each Trust and MFD will cooperate with the Company so as to enable the Company to solicit proxies from Policyowners or to make changes to its summary prospectus, statutory prospectus, statement of additional information or registration statement, in an orderly manner. Each Trust and MFD will make reasonable efforts to attempt to have changes affecting Policy prospectuses become effective simultaneously with the annual updates for such prospectuses.
4.8. For purposes purpose of this Article IVIV and Article VIII, the phrase "“sales literature or other promotional material" includes, ” includes but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, website, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), and sales literature (i.e.such as brochures, circulars, reprints or excerpts or any written communication other advertisement, sales literature, or published articles), distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.
Appears in 1 contract
Samples: Participation Agreement (C M Life Variable Life Separate Account I)
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the Underwriter, each piece of sales literature or other promotional material in which the Trust or the Underwriter is named, at least five Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Company MONY shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with its receipt of net premiums in connection with the sale of the MONY Contracts other than the information or representations contained in or accurately derived from the registration statement Registration Statement, prospectus or prospectus Statement of Additional Information for the Trust, as such registration statement and Registration Statement, prospectus or Statement of Additional Information may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the TrustTrust or its designees.
4.34.2. The Trust or its designee the Distributors, or their respective designees, shall furnish, or shall cause to be furnished, to the Company MONY or its designeedesignees, the form of each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are MONY is named at least five Business Days prior to its use. No such material shall be used if the Company MONY or its designee designees reasonably objects object to such its use within five Business Days after receipt of such material.
4.44.3. The Trust and the Underwriter Distributors shall not give any information or make any representations on behalf of the Company MONY or concerning MONY, the Company, each Account, or the Contracts, MONY Contracts other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented accurately derived from time to time, or in published reports for each the Account which are in the public domain or approved by the Company MONY for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designeeContractowners, except with the permission of the CompanyMONY.
4.54.4. The Trust will shall provide to the Company MONY at least one complete copy of all registration statementsRegistration Statements, prospectuses, statements Statements of additional informationAdditional Information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC, the NASD, or other regulatory authorities.
4.64.5. The Company will MONY shall provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no no-action letters, and all amendments to any of the above, that relate to the investment in MONY Contracts or the Trust under Account if such document also relates to the ContractsTrust, contemporaneously with the filing of such document with the Securities and Exchange Commission SEC, the NASD, or other regulatory authorities.
4.74.6. For purposes of this Article IV, the phrase "“sales literature or other promotional material" ” includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, including materials published or designed for use in, in a newspaper, magazine, or other periodical, radio, television, telephone or tape or electronic recording, videotape display, signs or billboards, motion pictures, electronic messages or communications or other public media, including a publicly available internet address or website), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published articlearticle or internet site or website), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements Statements of additional informationAdditional Information, shareholder reports, and proxy materials. However, it is anticipated that materials provided solely: (a) internally to MONY’s or a Distributor’s own employees or counsel; or (b) to certain designated third parties and that are not designed to be provided or communicated in any manner to the general public (e.g., training materials provided to distributors or agents) will not be filed with the SEC, the NASD, or any state securities or insurance regulatory authorities, although such materials will be prepared in accordance with applicable laws.
Appears in 1 contract
Sales Material and Information. 4.1. The Company shall furnish, or shall cause to be furnished, to the Underwriter, each piece of sales literature or other promotional material in which the Trust or the Underwriter is named, at least five Business Days prior to its use. No such material shall be used if the Trust or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.2. The Company shall not give any information or make any representations or statements on behalf of the Trust or concerning the Trust in connection with the sale of the Contracts other than the information or representations contained in the registration statement or prospectus for the Trust, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Trust, or in sales literature or other promotional material approved by the Trust or its designee, except with the permission of the Trust.
4.3. The Trust or its designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or its separate account(s) or Contracts are named at least five Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within five Business Days after receipt of such material.
4.4. The Trust and the Underwriter shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Contracts, other than the information or representations contained in a registration statement or prospectus for the Contracts, as such registration statement and prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5. The Trust will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Trust or its shares, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.6. The Company will provide to the Trust at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemptions, requests for no action letters, and all amendments to any of the above, that relate to the investment in the Trust under the Contracts, contemporaneously with the filing of such document with the Securities and Exchange Commission or other regulatory authorities.
4.7. For purposes of this Article IV, the phrase "sales literature or other promotional material" includes, but is not limited to, any of the following that refer to the Trust or any affiliate of the Trust: advertisements (such as material published, or designed for use in, a newspaper, magazine, or other periodical, radio, television, telephone or tape recording, videotape display, signs or billboards, motion pictures, or other public media), sales literature (i.e., any written communication distributed or made generally available to customers or the public, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published article), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and registration statements, prospectuses, statements of additional information, shareholder reports, and proxy materials.. -8- PH02A/13795.1
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Samples: Participation Agreement (Phoenix Life & Annuity Variable Universal Life Account)