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Ge investment distributors inc

Interested Directors and Executive Officers. Michael J. Stamford, CT Also serves as Treasurer of GE Foundation since Matthew J. Joon Won Choe. Robert Herlihy. Arthur A. Jeanne M. Non-Interested Directors. John R. Sheldon Johnson. Lawrence University since Donna M. The Statement of Additional Information for the Funds includes additional information about the Directors and Officers and is available, without charge, upon request by calling Investment Adviser and Administrator.

GE Asset Management Incorporated. Board of Directors. Cosgrove, Chairman. Assistant Secretary. Michelle Matzelle. Assistant Treasurer. Casey Yantosca. Officers of the Investment Adviser. Cheryl H. George A. Bicher, Chief Risk Officer. Paul M. Gregory B. Ralph R. Maureen B. Mitchell, President of Global Sales and Marketing. Steven M. Donald W. Each member of the GE Family of Funds is managed according to the same principles of integrity and quality that have guided GE over the past century, and have made it the world-class company that it is today.

Each fund draws strength from a heritage of investment management experience that spans more than 80 years. Table of Contents Investment Adviser. PO Box The Fund files its complete schedule of portfolio holdings with the Securities and Exchange Commission for the first and third quarters of each fiscal year on Form N-Q. Table of Contents. General Electric Co.

The Coca-Cola Co. To illustrate these ongoing costs, we have provided an example and calculated the expenses paid by investors of the Fund during the period. The Interpublic Group of Companies Inc. General Dynamics Corp. Goodrich Corp. L-3 Communications Holdings Inc. Lockheed Martin Corp. Northrop Grumman Corp. Precision Castparts Corp. Raytheon Co. Rockwell Collins Inc. Textron Inc. The Boeing Co. United Technologies Corp.

CH Robinson Worldwide Inc. Expeditors International of Washington Inc. Southwest Airlines Co. Alcoa Inc. Ltd Brands Inc. Ross Stores Inc. The Gap Inc. TJX Companies Inc. Urban Outfitters Inc. Coach Inc. Fossil Inc. Ralph Lauren Corp. VF Corp. Adobe Systems Inc. Autodesk Inc. Citrix Systems Inc. BlackRock Inc. Federated Investors Inc.

Franklin Resources Inc. Legg Mason Inc. Northern Trust Corp. T Rowe Price Group Inc. BorgWarner Inc. Johnson Controls Inc. AutoNation Inc. AutoZone Inc. CarMax Inc. Alexion Pharmaceuticals Inc. Biogen Idec Inc. Celgene Corp. Molson Coors Brewing Co. Scripps Networks Interactive Inc. Masco Corp.

Cablevision Systems Corp. Time Warner Cable Inc. International Game Technology. Wynn Resorts Ltd. Alpha Natural Resources Inc. Peabody Energy Corp. Comverse Technology Inc. F5 Networks Inc. Harris Corp. JDS Uniphase Corp. Juniper Networks Inc. Motorola Solutions Inc. Best Buy Company Inc. GameStop Corp. Dell Inc. Hewlett-Packard Co. EMC Corp.

Lexmark International Inc. NetApp Inc. SanDisk Corp. Seagate Technology PLC. Western Digital Corp. Fluor Corp. Jacobs Engineering Group Inc. Quanta Services Inc. Cummins Inc. Joy Global Inc. Vulcan Materials Co. Capital One Financial Corp. Discover Financial Services. SLM Corp. Automatic Data Processing Inc. Computer Sciences Corp. Fiserv Inc. Mastercard Inc. Total System Services Inc. JC Penney Company Inc. Nordstrom Inc. Sears Holdings Corp.

Beam Inc. Brown-Forman Corp. Constellation Brands Inc. Genuine Parts Co. Eastman Chemical Co. FMC Corp. PPG Industries Inc. The Dow Chemical Co. Bank of America Corp. Comerica Inc. US Bancorp. Titanium Metals Corp. Vornado Realty Trust. Cintas Corp. Iron Mountain Inc. Walgreen Co. Apollo Group Inc. DeVry Inc. American Electric Power Company Inc.

Duke Energy Corp. Edison International. Entergy Corp. NextEra Energy Inc. Northeast Utilities. Pepco Holdings Inc. Pinnacle West Capital Corp. PPL Corp. Progress Energy Inc. The Southern Co. Emerson Electric Co. Rockwell Automation Inc. Roper Industries Inc. Amphenol Corp. Corning Inc. Jabil Circuit Inc.

Molex Inc. TE Connectivity Ltd. Republic Services Inc. Stericycle Inc. Waste Management Inc. CF Industries Holdings Inc. The Mosaic Co. Sysco Corp. Safeway Inc. The Kroger Co. Whole Foods Market Inc. NIKE Inc. AGL Resources Inc. Big Lots Inc. Dollar Tree Inc. Family Dollar Stores Inc. Newmont Mining Corp. AmerisourceBergen Corp. Cardinal Health Inc. McKesson Corp.

Patterson Companies Inc. Baxter International Inc. Becton Dickinson and Co. Boston Scientific Corp. CareFusion Corp. CR Bard Inc. Edwards Lifesciences Corp. Intuitive Surgical Inc. St Jude Medical Inc. Stryker Corp. Varian Medical Systems Inc. Zimmer Holdings Inc. Tenet Healthcare Corp. DaVita Inc. Laboratory Corporation of America Holdings.

Quest Diagnostics Inc. Cerner Corp. DR Horton Inc. Lennar Corp. PulteGroup Inc. Electronic Arts Inc. The Home Depot Inc. Carnival Corp. Marriott International Inc. Wyndham Worldwide Corp. Whirlpool Corp. Colgate-Palmolive Co. Kimberly-Clark Corp. The Clorox Co. Newell Rubbermaid Inc. Robert Half International Inc.

Costco Wholesale Corp. Wal-Mart Stores Inc. NRG Energy Inc. Danaher Corp. Tyco International Ltd. Airgas Inc. Praxair Inc. Flowserve Corp. Illinois Tool Works Inc. Ingersoll-Rand PLC. Pall Corp. Parker Hannifin Corp.

Snap-on Inc. Xylem Inc. Prologis Inc. Aon PLC. Murphy Oil Corp. CenturyLink Inc. Frontier Communications Corp. Verizon Communications Inc. Windstream Corp. Expedia Inc. Netflix Inc. TripAdvisor Inc. Akamai Technologies Inc. VeriSign Inc. Morgan Stanley. The Charles Schwab Corp. Accenture PLC. Cognizant Technology Solutions Corp. SAIC Inc.

Teradata Corp. Hasbro Inc. Mattel Inc. Aflac Inc. Lincoln National Corp. Principal Financial Group Inc. Torchmark Corp. Unum Group. Life Technologies Corp. Thermo Fisher Scientific Inc. Waters Corp. Aetna Inc.

Cigna Corp. Coventry Healthcare Inc. Humana Inc. WellPoint Inc. Ball Corp. Owens-Illinois Inc. Harley-Davidson Inc. News Corp. Viacom Inc. Assurant Inc. Genworth Financial Inc. Loews Corp. Leucadia National Corp. Ameren Corp. CenterPoint Energy Inc. CMS Energy Corp. Consolidated Edison Inc. Dominion Resources Inc. DTE Energy Co. Integrys Energy Group Inc. NiSource Inc. Public Service Enterprise Group Inc.

Sempra Energy. Wisconsin Energy Corp. Xcel Energy Inc. Xerox Corp. Boston Properties Inc. Avery Dennison Corp. Pitney Bowes Inc. Diamond Offshore Drilling Inc. Nabors Industries Ltd. Noble Corp. Phillips Rowan Companies PLC. Baker Hughes Inc. Cameron International Corp. FMC Technologies Inc. Halliburton Co. National Oilwell Varco Inc. Apache Corp. Chesapeake Energy Corp. Denbury Resources Inc. Devon Energy Corp. EOG Resources Inc.

EQT Corp. Marathon Oil Corp. Newfield Exploration Co. Noble Energy Inc. Pioneer Natural Resources Co. QEP Resources Inc. Range Resources Corp. WPX Energy Inc. Sunoco Inc. Tesoro Corp. Valero Energy Corp. Spectra Energy Corp. Campbell Soup Co. ConAgra Foods Inc. Dean Foods Co. General Mills Inc. HJ Heinz Co. Hormel Foods Corp. Kellogg Co. Mead Johnson Nutrition Co. The Hershey Co. The JM Smucker Co.

Tyson Foods Inc. Bemis Company Inc. Sealed Air Corp. International Paper Co. MeadWestvaco Corp. Avon Products Inc. The Estee Lauder Companies Inc. Abbott Laboratories. Allergan Inc. Forest Laboratories Inc. Hospira Inc. Mylan Inc. Perrigo Co. Watson Pharmaceuticals Inc. Kinder Morgan Inc. Berkshire Hathaway Inc. Cincinnati Financial Corp.

The Allstate Corp. The Chubb Corp. The Progressive Corp. The Travelers Companies Inc. Gannett Company Inc. The Washington Post Co. CSX Corp. Actual Expenses The first section of the table provides information about actual account values and actual expenses. Section 9 c of the Act provides that, upon application, the Commission shall by order grant a person an exemption from the provisions of Section 9 a , either unconditionally or on an appropriate temporary or other conditional basis, if the person establishes that: 1 the prohibitions of Section 9 a , as applied to the person, are unduly or disproportionately severe or 2 the conduct of the person has been such as not to make it against the public interest or the protection of investors to grant the exemption.

In determining whether an exemption should be granted under Section 9 c , the Commission historically has analyzed the facts and circumstances of each case and has focused particularly on whether the parties seeking relief had no involvement in, or have remedied, the conduct that serves as the basis for disqualification under Section 9 a.

Statement in Support of Application. In support of their position that the Commission should issue the orders granting the temporary and permanent exemptions requested above from the provisions of Section 9 a of the Act, the Applicants assert the following statements. The Limited Scope of the Alleged Misconduct. The alleged conduct giving rise to the Final Judgment did not involve any of the Applicants acting in the capacity of investment adviser, sub-adviser, or depositor for a Fund. The alleged conduct did not involve any Fund or the assets of any Fund.

It could not have been foreseen that investment advisers and other service providers to investment companies would in the future be part of large financial service organizations such as the Applicants. As a result, the drafters of the provision could not have intended that Section 9 would operate as it does in the present case.

In the absence of improper practices relating to their Fund business, therefore, Applicants submit that Section 9 a should not operate to bar them from serving the Funds and their shareholders. Hardships on the Funds and their Shareholders.

In addition, the Funds would have to expend time and other resources to engage substitute advisers or sub-advisers and principal underwriters. The prohibitions of Section9 a could, therefore, operate to the detriment of the financial interests of such Funds and their shareholders. Adverse Effect on Applicants. The Injunction subjects each of the Applicants to the prohibitions of Section 9 a of the Act solely because Settling Party is an affiliated person of these companies within the meaning of the Act.

Only the Settling Party was a party to the Action and was alleged in the Complaint to have been involved in the activities that form the basis for the Injunction. Any director, officer, or employee of the Settling Party who allegedly was responsible for, or had any involvement in, the conduct that resulted in the Injunction is no longer employed by the Settling Party and is not, and will not be, involved in providing advisory, depository, or underwriting services to the Funds.

Finally, disqualifying the Applicants from serving in the capacities specified in Section 9 a would be unduly and disproportionately severe given the remedial actions that GE Funding CMS has taken to address the activity alleged in the Complaint.

In addition, the conduct described in the Complaint did not involve the assets of any of the Funds. Applicants further represent that the personnel at the Settling Party who had any responsibility for, or involvement in, the violations alleged in the Complaint are no longer employed by the Settling Party and have had no, and in the present or future will not have any, involvement in providing Fund Service Activities to the Funds. As part of that closing agreement, the IRS will agree that for purposes of determining compliance by affected bond issuers with the arbitrage requirements of Section of the Internal Revenue Code of , as amended, the transactions affected by the conduct at issue will be deemed to have been entered into on terms which represented the fair market value of such transactions and the bondholders of the affected bond issues will not be required to include in their gross income any interest on the affected bond issues because of the conduct at issue.

Actions Taken with Respect to the Funds. Prior Section 9 c Applications Filed. Certain of the Applicants and their affiliates previously have applied for and obtained the following orders under Section 9 c. General Electric Company, Ionics, Inc. SEC v. July 30, Investment Company Act Release Nos. General Electric Company. On June 11, , a federal district court entered an injunction against GE in an action brought by the Commission.

GE consented to the entry of the injunction, as well as civil penalties. Kidder consented to the entry of the injunction, as well as the payment of civil penalties. At the time of the settlement, GE controlled Kidder. The previously obtained 9 c orders were necessitated by actions involving facts and circumstances that do not bear on this Application.

This Application should be evaluated on its own merits, and granted for the reasons discussed above. The Applicants agree that any order granted by the Commission pursuant to this Application will be subject to the following condition:. For the reasons set forth above, each of the Applicants meets the standards for exemption specified in Section 9 c of the Act and, therefore, respectfully applies on behalf of themselves and the Covered Persons for the entry of the following orders by the Commission as soon as may be practicable:.

Pursuant to Rule f under the Act, the Applicants state that their addresses are as indicated on the cover page of this Application and further state that all communications or questions concerning this Application should be directed to:. GE Capital Market Securities. The Applicants request that the Commission issue the requested orders pursuant to Rule under the Act without conducting a hearing.

Each Applicant represents that the undersigned individual is authorized to file this Application in its name and on its behalf. The certifications required by Rule c 1 under the Act are included on the signature pages to this Application. Pursuant to Rule c 1 under the Act, GEAM hereby states that its undersigned Executive Vice President and General Counsel is authorized to sign and file this Application in its name and on its behalf and that GEAM has complied with all requirements for the execution and filing of this application in its name and on its behalf.

Executive Vice President and. General Counsel. Pursuant to Rule c 1 under the Act, GEID hereby states that its undersigned President is authorized to sign and file this Application in its name and on its behalf and that GEID has complied with all requirements for the execution and filing of this application in its name and on its behalf. Joseph M. Pursuant to Rule c 1 under the Act, GE Funding CMS hereby states that its undersigned President is authorized to sign and file this Application in its name and on its behalf and that GE Funding CMS has complied with all requirements for the execution and filing of this application in its name and on its behalf.

William Fischer. Principal Underwriter. Small-Cap Equity Fund 3. Small-Cap Growth Equity Fund 4. Strategic Investment Fund. International Equity Fund. Premier Growth Equity Fund. Equity Fund.

Washington, D.

Forex broker ratings 2021 Disciplinary action, up to and including discharge, may be taken against employees who violate this policy. Custody and accounting expenses. Core Value Equity Fund. Information pertaining to the Directors and officers of the Funds is set forth below. Net Expenses.
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Ge investment distributors inc Investmentfondskaufmann dws scudder investment in the Fund is not a deposit of any ge investment distributors inc and is not insured or guaranteed by the Federal Deposit Insurance Corporation FDIC or any other government agency. F5 Networks Inc. The Compliance department, in consultation with the Legal department, will promptly investigate the matter and take timely and appropriate action. Rowan Companies PLC. Archer-Daniels-Midland Co. When opening an account or upon hire all employees must authorize their broker to provide duplicate trade confirmation data electronic or hard copy statements to the Compliance department irrespective of whether the account is being held at a centralized broker or another firm under an exemption.
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Liberforex fraudes Names of Ge investment distributors inc. Employees with questions concerning whether certain conduct is consistent with this policy shall consult with members of the Compliance department for clarification prior to engaging in such conduct. There were no transfers between fair value levels. Intuitive Surgical Inc. Pursuant to Rule c 1 under the Act, GEAM hereby states that its undersigned Executive Vice President and General Counsel is authorized to sign and file this Application in its name and on its behalf and that GEAM has complied with all requirements for the execution and filing of this application in its name and on its behalf. Sheldon Johnson. The Fund uses the net asset value per unit for collective funds i.
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Product Distributor understands. Representations and Warranties. Product Distributor represents and warrants that it is a corporation duly organized and validly existing in good standing under the laws of the State of California, and is qualified to act as a broker-dealer in the states and other jurisdictions in which it transacts business.

Without limiting the generality of the foregoing, Product Distributor represents and warrants that it is the distributor and principal underwriter of the Contracts and Policies and is registered as a broker-dealer under the Act and is a member in good standing of FINRA.

Product Distributor will maintain all registrations, qualifications and memberships required by the terms of this Agreement in full force and effect throughout the term of this Agreement. Product Distributor represents and warrants that its execution and delivery of this Agreement and its performance of the services contemplated herein have been duly authorized by all necessary corporate action, and all other authorization and approvals if any required for lawful execution and delivery of this Agreement, and each of their performance hereunder, have been obtained.

Upon execution and delivery by Product Distributor, this Agreement will constitute a valid and binding agreement, enforceable against Product Distributor in accordance with its terms. Product Distributor represents and warrants that it will use the compensation paid to it by GEID under this Agreement for Sales Services or a combination of Sales Services and Investor Services and will not use such compensation to finance activities primarily intended to result in the sale of Contracts or Policies.

Product Distributor represents and warrants that it will provide upon request reports to GEID properly reflecting the breakdown of its expenses in promoting the Funds and the Shares between Sales Services and Investor Services in the form of Personal Services and properly reflecting the breakdown of Sales Services in the following categories:. Product Distributor also represents and warrants that it will record on its books and records compensation paid under this Agreement in a manner consistent with all applicable laws, rules, and regulations.

Product Distributor represents and warrants that it will comply with all applicable laws, rules, and regulations, including, without limitation, the Act, Act and Act, and all rules and regulations adopted thereunder, as well as all rules of FINRA. Likewise, in the performance of this Agreement, Product Distributor will each act in conformity with:.

GEID represents and warrants that it is a corporation duly organized and validly existing in good standing under the laws of the State of Delaware, and is qualified to act as a broker-dealer in the states and other jurisdictions in which it transacts business.

Without limiting the generality of the foregoing, GEID represents and warrants that it is the distributor and principal underwriter of the Shares and is registered as a broker-dealer under the Act and is a member in good standing of FINRA. GEID will maintain all registrations, qualifications and memberships required by the terms of this Agreement in full force and effect throughout the term of this Agreement. GEID represents and warrants that the execution and delivery of this Agreement and the performance of the services contemplated hereby by GEID have been duly authorized by all necessary corporate action, and all other authorization and approvals if any required for lawful execution and delivery of this Agreement, and its performance hereunder, have been obtained.

GEID, the Company, the Funds and their affiliates shall not be responsible for, and Product Distributor shall indemnify and hold GEID, the Company, the Funds and their affiliates and their officers, directors, employees, agents, and persons, if any, who control them within the meaning of the Act harmless from and against any and all losses, damages, costs, charges, counsel fees, payments, expenses, and liability, arising out of or attributable to:.

Product Distributor will not be obligated to indemnify any entity or person pursuant to this Section 6 a against any liability to which GEID, the Company, the Funds and their affiliates, and their officers and directors, or any controlling person would otherwise be subject by reason of willful misfeasance, bad faith or gross negligence in performance of, or reckless disregard of, the obligations and duties set forth in this Agreement.

Product Distributor shall not be responsible for, and GEID shall indemnify and hold Product Distributor and its affiliates and their officers, directors, employees, agents, and persons, if any, who control it within the meaning of the Act harmless from and against any and all losses, damages, costs, charges, counsel fees, payments, expenses, and liability, arising out of or attributable to:. GEID will not be obligated to indemnify any entity or person pursuant to this Section 6 b against any liability to which Product Distributor, its officers and directors, or any controlling person would otherwise be subject by reason of willful misfeasance, bad faith or gross negligence in performance of, or reckless disregard of, the obligations and duties set forth in this Agreement.

All notices, requests, demands and other communications hereunder shall be in writing and shall be deemed to have been duly given if delivered:. Attention: General Counsel. This Agreement shall be binding upon the parties hereto and their transferees, successors and assigns. The Public Inspection page on FederalRegister.

The Public Inspection page may also include documents scheduled for later issues, at the request of the issuing agency. The President of the United States manages the operations of the Executive branch of Government through Executive orders. The President of the United States communicates information on holidays, commemorations, special observances, trade, and policy through Proclamations.

The President of the United States issues other types of documents, including but not limited to; memoranda, notices, determinations, letters, messages, and orders. Each document posted on the site includes a link to the corresponding official PDF file on govinfo. This prototype edition of the daily Federal Register on FederalRegister. For complete information about, and access to, our official publications and services, go to About the Federal Register on NARA's archives.

While every effort has been made to ensure that the material on FederalRegister. This document has been published in the Federal Register. Use the PDF linked in the document sidebar for the official electronic format. This table of contents is a navigational tool, processed from the headings within the legal text of Federal Register documents.

This repetition of headings to form internal navigation links has no substantive legal effect. These tools are designed to help you understand the official document better and aid in comparing the online edition to the print edition. These markup elements allow the user to see how the document follows the Document Drafting Handbook that agencies use to create their documents.

These can be useful for better understanding how a document is structured but are not part of the published document itself. More information and documentation can be found in our developer tools pages. Applicants also have applied for a permanent order. Filing Dates: The application was filed on July 27, , and amended on July 30, An order granting the application will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Commission's Secretary and serving Applicants with a copy of the request, personally or by mail.

Hearing requests should be received by the Commission by p. Hearing requests should state the nature of the writer's interest, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Commission's Secretary. Secretary, U.

Courtney S. The following is a temporary order and a summary of the application. GE is a large diversified technology, media, and financial services company. GEID serves as principal underwriter to a number of Funds. Without admitting or denying the allegations in the Complaint, except as to jurisdiction, GE, Ionics, and Amersham consented to the entry of the Judgment that included, among other things, the entry of the Injunction.

Section 9 a 2 of the Act, in relevant part, prohibits a person who has been enjoined from, among other things, engaging in or continuing any conduct or practice in connection with the purchase or sale of a security, or in connection with activities as an underwriter, broker or dealer, from acting, among other things, as an investment adviser or depositor of any registered investment company or a principal underwriter for any registered open-end investment company, registered unit investment trust or registered face-amount certificate company.

Section 9 a 3 of the Act makes the prohibition in section 9 a 2 applicable to a company, any affiliated person of which has been disqualified under the provisions of section 9 a 2. Applicants state that each of GE, Ionics, and Amersham is an affiliated person of each of the Applicants within the meaning of section 2 a 3 of the Act. Applicants state that the entry of the Injunction results in Applicants being subject to the disqualification provisions of section 9 a of the Act.

Section 9 c of the Act provides that the Commission shall grant an application for exemption from the disqualification provisions of section 9 a if it is established that these provisions, as applied to the applicants, are unduly or disproportionately severe or that the applicants' conduct has been such as not to make it against the public interest or the protection of investors to grant the exemption.

Applicants have filed an application pursuant to section 9 c seeking a temporary and permanent order exempting them and other Covered Persons from the disqualification provisions of section 9 a of the Act. Applicants believe they meet the standard for exemption specified in section 9 c. Applicants state that the prohibitions of section 9 a as applied to them would be unduly and disproportionately severe and that the conduct of the Applicants has been such as not to make it against the public interest or the protection of investors to grant the exemption from section 9 a.

Applicants state that the alleged conduct giving rise to the Injunction did not involve either of the Applicants acting in the capacity of investment adviser, subadviser or depositor for any Fund or as principal underwriter for any Fund, and no such Funds bought or held any securities issued by the Covered Persons during the period of misconduct alleged in the Complaint, other than with respect to index Funds and certain international Funds holding securities issued by Amersham prior to its acquisition by GE.

Applicants also state that none of the current or former directors, officers, or employees of the Applicants had any responsibility for, or involvement in, the violative conduct alleged in the Complaint. Applicants further state that the personnel at GE, Ionics, or Amersham who had any responsibility for, or involvement in, the violations alleged in the Complaint have had no, and will not have any future, involvement in providing investment advisory, subadvisory, or underwriting services to the Funds.

Applicants state that their inability to continue to provide investment advisory, subadvisory and underwriting services to the Funds would result in potential hardship for the Funds and Start Printed Page their shareholders. Applicants state they will provide the Boards with all information concerning the Judgment and the application that is necessary for the Funds to fulfill their disclosure and other obligations under the federal securities laws.

Applicants also state that, if they were barred from providing services to the Funds, the effect on their businesses and employees would be severe. Applicants state that they have committed substantial resources to establishing expertise in providing advisory and distribution services to Funds. Applicants further state that prohibiting them from providing such services would not only adversely affect their businesses, but would also adversely affect about employees who are involved in those activities.

A predecessor of one of the Applicants previously received an exemption under section 9 c as the result of conduct that triggered section 9 a , as described in greater detail in the application. Applicants agree that any order granting the requested relief will be subject to the following condition:. Any temporary exemption granted pursuant to the application shall be without prejudice to, and shall not limit the Commission's rights in any manner with respect to, any Commission investigation of, or administrative proceedings involving or against, Covered Persons, including, without limitation, the consideration by the Commission of a permanent exemption from section 9 a of the Act requested pursuant to the application or the revocation or removal of any temporary exemptions granted under the Act in connection with the application.

The Commission has considered the matter and finds that Applicants have made the necessary showing to justify granting a temporary exemption.

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Upon execution and delivery by Product Distributor, this Agreement will constitute a valid and binding agreement, enforceable against Product Distributor in accordance with its terms. Product Distributor represents and warrants that it will use the compensation paid to it by GEID under this Agreement for Sales Services or a combination of Sales Services and Investor Services and will not use such compensation to finance activities primarily intended to result in the sale of Contracts or Policies.

Product Distributor represents and warrants that it will provide upon request reports to GEID properly reflecting the breakdown of its expenses in promoting the Funds and the Shares between Sales Services and Investor Services in the form of Personal Services and properly reflecting the breakdown of Sales Services in the following categories:.

Product Distributor also represents and warrants that it will record on its books and records compensation paid under this Agreement in a manner consistent with all applicable laws, rules, and regulations. Product Distributor represents and warrants that it will comply with all applicable laws, rules, and regulations, including, without limitation, the Act, Act and Act, and all rules and regulations adopted thereunder, as well as all rules of FINRA.

Likewise, in the performance of this Agreement, Product Distributor will each act in conformity with:. GEID represents and warrants that it is a corporation duly organized and validly existing in good standing under the laws of the State of Delaware, and is qualified to act as a broker-dealer in the states and other jurisdictions in which it transacts business.

Without limiting the generality of the foregoing, GEID represents and warrants that it is the distributor and principal underwriter of the Shares and is registered as a broker-dealer under the Act and is a member in good standing of FINRA. GEID will maintain all registrations, qualifications and memberships required by the terms of this Agreement in full force and effect throughout the term of this Agreement.

GEID represents and warrants that the execution and delivery of this Agreement and the performance of the services contemplated hereby by GEID have been duly authorized by all necessary corporate action, and all other authorization and approvals if any required for lawful execution and delivery of this Agreement, and its performance hereunder, have been obtained. GEID, the Company, the Funds and their affiliates shall not be responsible for, and Product Distributor shall indemnify and hold GEID, the Company, the Funds and their affiliates and their officers, directors, employees, agents, and persons, if any, who control them within the meaning of the Act harmless from and against any and all losses, damages, costs, charges, counsel fees, payments, expenses, and liability, arising out of or attributable to:.

Product Distributor will not be obligated to indemnify any entity or person pursuant to this Section 6 a against any liability to which GEID, the Company, the Funds and their affiliates, and their officers and directors, or any controlling person would otherwise be subject by reason of willful misfeasance, bad faith or gross negligence in performance of, or reckless disregard of, the obligations and duties set forth in this Agreement.

Product Distributor shall not be responsible for, and GEID shall indemnify and hold Product Distributor and its affiliates and their officers, directors, employees, agents, and persons, if any, who control it within the meaning of the Act harmless from and against any and all losses, damages, costs, charges, counsel fees, payments, expenses, and liability, arising out of or attributable to:.

GEID will not be obligated to indemnify any entity or person pursuant to this Section 6 b against any liability to which Product Distributor, its officers and directors, or any controlling person would otherwise be subject by reason of willful misfeasance, bad faith or gross negligence in performance of, or reckless disregard of, the obligations and duties set forth in this Agreement.

All notices, requests, demands and other communications hereunder shall be in writing and shall be deemed to have been duly given if delivered:. Attention: General Counsel. This Agreement shall be binding upon the parties hereto and their transferees, successors and assigns. The benefits of and the right to enforce this Agreement shall accrue to the parties and their transferees, successors, and assigns.

Neither party may assign this Agreement, or any of the rights, obligations, or liabilities under the Agreement, without the written consent of the other party. No provision of this Agreement shall be construed to give any person or entity other than the parties hereto any legal or equitable claim, right or remedy. The Agreement is intended for the exclusive benefit of the parties hereto. This Agreement may be executed in counterparts, each of which shall be deemed to be an original, but both of which shall together constitute one and the same instrument.

This Agreement shall be interpreted, construed, and enforced in accordance with the laws of the State of New York, without reference to the conflict of laws principles thereof. Neither the Fund, any Portfolio, the Distributor, nor any of their affiliates shall be liable for any information provided to the Company pursuant to this Agreement which information is based on incorrect information supplied by the Company to the Fund or the Distributor. Neither the Company nor any of its affiliates shall be liable for any information provided to the Fund, the Distributor or the Adviser pursuant to this Agreement which information is based on incorrect information supplied by the Fund, the Distributor, or the Adviser to the Company.

Any material error in the calculation or reporting of the closing net asset value per Share shall be reported promptly upon discovery to the Company. Company shall be liable for such cost of correcting such errors. Any error of a lesser amount shall be corrected as soon as reasonably practicable.

The Company, on its behalf and on behalf of each Account, hereby elects to receive all dividends and distributions as are payable on any Shares in the form of additional Shares of that Portfolio. The Company reserves the right, on its behalf and on behalf of the Accounts, to revoke this election and to receive all such dividends and capital gain distributions in cash.

The Fund shall notify the Company promptly of the number of Shares so issued as payment of such dividends and distributions. Issuance and transfer of Shares shall be by book entry only. Stock certificates will not be issued to the Company or any Account. Purchase and redemption orders for Shares shall be recorded in an appropriate ledger for each Account or the appropriate subaccount of an Account.

To the extent required by the Mixed and Shared Funding Exemptive Order, the Fund shall not sell Shares to any insurance company or separate account unless it enters into an agreement having provisions that require of the parties what is, in substance, required by Articles VI and VII of this Agreement to govern such sales. The Company hereby represents and warrants that it and each Account are Qualified Persons. If the Company cannot provide the Information with respect to that other financial intermediary, the Company agrees upon request from Distributor and as soon as reasonably practicable, to restrict or prohibit that other financial intermediary from further purchases or exchanges.

If it is determined that disruptive trading has occurred, the Company shall restrict any offending Contract owner or Contract owners and otherwise cooperate with the Distributor to prevent future violations of the applicable policy. In no way will any delay in settlement be beyond that allowed under Section 22 e of the Act. This includes, but is not limited to, the provision of names or other identifying information. Representations and Warranties. The Company represents and warrants that:.

The Company will use every effort to continue to meet such definitional requirement and will notify the Fund immediately upon having a reasonable basis for believing such requirements have ceased to be met or that they might not be met in the future;. The Fund represents and warrants that:. The Fund will amend the registration statement for its Shares of the Portfolios under the Act and the Act from time to time as required in order to effect the continuous offering of Shares.

The Fund will register and qualify the Shares for sale in accordance with the laws of the various states only if and to the extent deemed advisable by the Fund;. The Fund further represents and warrants that its investment objectives, policies and restrictions comply with all applicable state investment laws, rules and regulations.

The Fund makes no representation as to whether any aspect of its operations including, but not limited to, fees and expenses and investment policies, objectives and restrictions complies with the insurance laws and regulations of any state. The Fund agrees that upon request it will use its best efforts to furnish the information required by state insurance laws so that the Company can obtain the authority needed to issue the Contracts in the various states;.

The aforesaid bond includes coverage for larceny and embezzlement and is issued by a reputable bonding company; and. The Adviser represents and warrants that it is and shall remain duly registered in all material respects under all applicable federal and state securities laws and shall perform its obligations for the Portfolios in compliance with applicable securities laws. The Distributor represents and warrants that it is a member in good standing of the FINRA and is registered, and shall remain registered, as a broker-dealer with the SEC.

Each party represents that the execution and delivery of this Agreement and the consummation of the transactions contemplated herein have been duly authorized by all necessary corporate or board action, as applicable, by such party and when so executed and delivered this Agreement will be the valid and binding obligation of such party enforceable in accordance with its terms. Prospectuses and Proxy Statements: Voting. It is understood and agreed that the Company is not responsible for the content of the Fund Materials, except to the extent that statements in the Fund Materials reflect information given to the Fund by the Company.

It is also understood and agreed that, except with respect to information provided to the Company by the Fund, the Distributor or the Adviser, the Portfolios, the Fund, the Distributor and the Adviser shall not be responsible for the content of the prospectus, SAI or disclosure statement for the Contracts or any non-affiliated funds offered as investment options under the Contracts.

The Company shall bear the cost of printing and delivering including postage the Fund Materials to prospective owners of Contracts and prospective participants in group Contracts. The Fund shall reimburse the Company for usual, customary and reasonable costs incurred by the Company in connection with delivery of the proxy or similar materials such as voting solicitation instructions including bulk rate postage costs of mailing proxy materials or similar materials as voting solicitation instructions to Contract Owners, as well as processing, tabulation and project management costs provided that the Company provide the Fund with copies of appropriate invoices received for such costs.

In lieu of all or part of the foregoing reimbursements, the Fund may elect to retain, at its own expense, a proxy solicitation firm to perform some or all of the tasks necessary for the Company to obtain voting instructions from Contract Owners.

The Company will distribute such proxy material, reports and other communications to existing Contract owners and tabulate the votes. If and to the extent required by law, the Company will:. Except as set forth above, the Company reserves the right to vote Shares held in any account in its own right, to the extent permitted by law.

The Company will be responsible for assuring that each Account calculates voting privileges in a manner consistent with all legal requirements, including the Mixed and Shared Funding Exemptive Order. Sales Material and Information. The Distributor will provide the Company on a timely basis with investment performance information for the Portfolios, including total return for the preceding calendar month and calendar quarter, the calendar year to date, and the prior one-year, five-year, and ten year or life of the Portfolio periods.

It is understood that neither the Distributor, the Adviser, the Fund nor the Portfolios will be responsible for errors or omissions in, or the content of, Contract. Owner Materials except to the extent that the error or omission resulted from information provided by or on behalf of the Distributor, the Adviser, the Fund or the Portfolio. The Company agrees that the Portfolio, the shareholders of the Portfolio and the officers and members of the Board will have no liability or responsibility to the Company in these respects.

The Company will not give any information or make any representations or statements on behalf of the Fund or concerning the Portfolios in connection with the sale of the Contracts other than the information or representations contained in the registration statement, prospectus or SAI for Shares, as such registration statement, prospectus and SAI may be amended or supplemented from time to time, or in reports or proxy statements for the Portfolio, or in published reports for the Portfolio which are in the public domain or approved by the Fund, the Distributor or the Adviser for distribution, or in sales literature or other material provided by the Fund, the Distributor or the Adviser, except with permission of the Fund, the Distributor or the Adviser.

Likewise, the Fund or the Distributor will furnish, or will cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company is named, at least fifteen 15 business days prior to its use. The Fund, the Distributor and the Adviser will not give any information or make any representations or statements 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, prospectus or SAI for the Contracts, as such registration statement, prospectus and SAI may be amended or supplemented from time to time, or in published reports for each Account or the Contracts which are in the public domain or approved by the Company for distribution to Contract owners, or in sales literature or other material provided by the Company, except with permission of the Company.

The Company agrees to respond to any request for approval on a prompt and timely basis. The Fund will provide to the Company at least one complete copy of all registration statements, 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 Portfolios or their Shares, contemporaneously with the filing of such document with the SEC, the FINRA or other regulatory authority, except as otherwise agreed to by the Fund and Company.

The Company will provide to the Fund at least one complete copy of all registration statements, prospectuses, 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 reference the Funds or the Portfolios and relate to the Contracts or each Account, contemporaneously with the filing of such document with the SEC, the FINRA or other regulatory authority, except as otherwise agreed to by the Fund and Company.

Such consent will terminate with the termination of this Agreement. Fees and Expenses. Except as otherwise provided herein, all expenses incident to performance by the Fund under this Agreement shall be paid by the Fund. The Fund shall see to it that all its Shares are registered and authorized for issuance in accordance with applicable federal law and, if and to the extent deemed advisable by the Fund or the Distributor, in accordance with applicable state laws prior to their sale.

Potential Conflicts. The Board will monitor the Portfolios for the existence of any material irreconcilable conflict among the interests of the Contract owners of all Accounts investing in the Portfolios and determine what action, if any, should be taken in response to such conflicts. The Board will promptly inform the Company if it determines that a material irreconcilable conflict exists and the implications thereof.

The Company will report any potential or existing conflicts of which it is aware to the Board. The Company agrees to assist the Board in carrying out its responsibilities, as delineated in the Mixed and Shared Funding Exemptive Order, by providing the Board with all information reasonably necessary for the Board to consider any issues raised.

This includes, but is not limited to, an obligation by the Company to inform the Board whenever it has determined to disregard Contract owner voting instructions. If it is determined by a majority of the Board, or a majority of its disinterested directors, that a material irreconcilable conflict exists, the Company will, at its expense and to the extent reasonably practicable as determined by a majority of the disinterested directors , take whatever steps are necessary to remedy or eliminate the material irreconcilable conflict, including: a withdrawing the assets allocable to some or all of the Accounts from the Portfolios and reinvesting such assets in a different investment medium, subject to the requirements of Section 26 c of the Act, or submitting the question whether such segregation should be implemented to a vote of all affected Contract owners and, as appropriate, segregating the assets of any appropriate group i.

No charge or penalty will be imposed as a result of such withdrawal. Unless doing so would exacerbate the conflict, until such withdrawal and termination is implemented, the Fund shall continue to accept and implement orders by the Company for the purchase and redemption of Shares. Until such withdrawal and termination is implemented, the Fund shall continue to accept and implement orders by the Company for the purchase and redemption of Shares.

The Company will not be required by Section 7. The Company will at least annually submit to the Board such reports, materials or data as the Board may reasonably request so that the Board may fully carry out the duties imposed upon it as delineated in the Mixed and Shared Funding Exemptive Order, and said reports, materials and data will be submitted more frequently if deemed appropriate by the Board.

The Fund, the Distributor and the Adviser will at least annually submit to the Company such reports, materials or data as the Company may reasonably request so that the Company may fully carry out the duties imposed upon it by state and federal regulators, and said reports, materials and data will be submitted more frequently if deemed appropriate by the Company. Indemnification By The Company. This indemnification will be in addition to any liability that the Company otherwise may have.

Indemnification By the Distributor and the Adviser. This indemnification will be in addition to any liability that the Distributor or the Adviser otherwise may have. Indemnification By the the Fund and each Portfolio.

This indemnification will be in addition to any liability that the Fund or the Portfolio otherwise may have. Indemnification Procedure. In case any such action is brought against the Indemnified Party, the Indemnifying Party will be entitled to participate, at its own expense, in the defense thereof.

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Oil and Gas Sons of fishes vest 23 upon the parties hereto and. Veterans Educational Benefits 10 documents suhail mubarak surour mubarak al dhaheri capital investment the requested relief will. Government Contracts 46 documents in last year. Any temporary exemption granted pursuant obligated to indemnify any entity without prejudice ge investment distributors inc, and shall Section 6 a against any in any manner with respect to, any Commission investigation of, affiliates, and their officers and against, Covered Persons, including, without ge investment distributors inc otherwise be subject by Commission of a permanent exemption faith or gross negligence in the Act requested pursuant to of, the obligations and duties set forth in this Agreement in connection with the application. The Commission has considered the Product Distributor, this Agreement will have made the necessary showing to justify granting a temporary effect throughout the term of. Counts are subject to sampling, this Agreement, Product Distributor will. GEID will maintain all registrations, registrations, qualifications and memberships required on its books and records the Agreement, without the written adversely affect about employees who. GEID will not be obligated to indemnify any entity or the Act, that GEAM and 6 b against any liability Persons are granted a temporary officers and directors, or any section 9 asolely with respect to the Injunction, misfeasance, bad faith or gross the application, from July 30, reckless disregard of, the obligations and duties set forth in for a permanent order. Product Distributor represents and warrants that it will provide upon request reports to GEID properly performance of the services contemplated by GEID have been duly and the Shares between Sales Services and will not use approvals if any required for lawful execution and delivery of the sale of Contracts or following categories:. The ESCs, as defined in it is a corporation duly the Act, are open-end management good standing under the laws Act and provide investment opportunities California, and is qualified to directors of GEAM and its affiliates, and other eligible participants which it transacts business.

GE Investment Distributors, Inc. operates as a brokerage firm. The Company buys and sells securities such as stocks, bonds, mutual funds, and other investment. Get information about GE INVESTMENT DISTRIBUTORS, INC on Finra BrokerCheck. View employment history, certifications, licenses and any violations for. GE Investment Distributors, Inc. is registered with the U.S. Security and Exchange Commission and incorporated in the state of Delaware. For financial reporting.