Applicable SEC Guidance definition

Applicable SEC Guidance. Any applicable: (a) SEC release, opinion, or order, as well as any published no-action position, written interpretative guidance by the SEC staff; and (b) FINRA interpretive memoranda or notices to members, as well as any written interpretive guidance from the FINRA staff. "Applicable SEC Guidance" does not include oral statements, speeches or informal guidance by the SEC or its staff.
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Applicable SEC Guidance. Any applicable release, published no-action position, written interpretative guidance, or exemptive order provided by the SEC or the SEC Staff. “Applicable SEC Guidance” excludes oral statements, speeches or informal guidance.
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Applicable SEC Guidance means any applicable: (a) SEC release, opinion, or order, as well as any published “no-action” position or written interpretive guidance by the SEC staff; and (b) ▇▇▇▇▇ interpretive memoranda or notices to members, as well as any written interpretive guidance from the FINRA staff. Applicable SEC Guidance does not include oral statements, speeches, or informal guidance by the SEC or its staff. 1.4. “Business Day” means each day that the Trust is open for business as provided in the Trust’s Prospectus. 1.5. “Code” means the Internal Revenue Code of 1986, as amended, and any successor thereto. 1.6. “Contracts” means the class or classes of variable annuity contracts and/or variable life insurance policies issued by the Company and described more specifically on Schedules 1B, 2B, or 3B to this Agreement. 1.7. “Contract Owners” means the owners of the Contracts, as distinguished from all Product Owners. 1.8. “FINRA” means The Financial Industry Regulatory Authority, Inc. 1.9. “Fund Documents” means documents prepared by the Trust that, pursuant to Rule 498(e)(1), must be publicly accessible free of charge at the Web site address shown on the cover page or at the beginning of the Summary Prospectus. 1.10. “Fund Documents Web Site” means the web site maintained by the Trust (or its agent) where Contract Owners, prospective Contract Owners, participants in Participating Plans, or individual investors who are Qualified Persons or invest through a Qualified Person may access Fund Documents. 1.11. “Participating Account” means a separate account investing all or a portion of its assets in the Trust, including the Accounts. DocuSign Envelope ID: CC177216-0729-4B76-B63A-13AFAE94E8E6
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Examples of Applicable SEC Guidance in a sentence

  • The Company shall deliver (or arrange for delivery of) such Summary or Statutory Prospectuses at the times and in the manner required by applicable provisions of the 1933 Act and rules or regulations thereunder and Applicable SEC Guidance.

  • The Company shall not bind together the Summary Prospectuses or Statutory Prospectuses for the Series and Classes available under this Agreement with Summary Prospectuses and Statutory Prospectuses for shares of other investment companies, or any other document except as expressly permitted by and in Rule 498(c)(2) and any Applicable SEC Guidance.

  • The Trust, the Distributor and their affiliates are not responsible or liable for acts or omissions by the Company or the Company’s affiliates taken (or not taken) in reliance upon any statements or representations made by the Trust, the Distributor or any of their affiliates or their legal advisers, to the Company or the Company’s affiliates concerning the applicability of any Applicable Law or Applicable SEC Guidance to the activities contemplated by this Agreement.

  • The Company shall deliver or provide all Summary Prospectuses and all Statutory Prospectuses in compliance with the Greater Prominence requirements of Rule 498(f)(2) and any Applicable SEC Guidance.

  • The Company and its affiliates are not responsible or liable for acts or omissions by the Trust, the Distributor and their affiliates taken (or not taken) in reliance upon any statements or representations made by the Company or its affiliates or their legal advisers, to the Trust, the Distributor and their affiliates concerning the applicability of any Applicable Law or Applicable SEC Guidance to the activities contemplated by this Agreement.

Related to Applicable SEC Guidance