Broker-Dealer Qualifications. The Broker-Dealer represents that it is a broker-dealer registered with the SEC under the 1934 Act, and is a member of FINRA. The Broker-Dealer must, at all times when performing its functions and fulfilling its obligations under this Agreement, be duly registered as a broker-dealer under the 1934 Act and in each state or other jurisdiction in which the Broker-Dealer intends to perform its functions and fulfill its obligations hereunder and in which such registration is required, and be a member in good standing of FINRA.
Appears in 2 contracts
Samples: Broker Dealer and General Agent (Separate Account a of Axa Equitable Life Insurance Co), Broker Dealer and General Agent (Axa Equitable Life Insurance Co)
Broker-Dealer Qualifications. The Broker-Dealer represents that it is a broker-dealer registered with the SEC under the 1934 Act, Act and is a member of the FINRA. The Broker-Dealer must, at all times when performing its functions and fulfilling its obligations under this Agreement, be duly registered as a broker-dealer under the 1934 Act and in each state or other jurisdiction in which the Broker-Dealer intends to perform its functions and fulfill its obligations hereunder and in which such registration is required, and be a member in good standing of the FINRA.
Appears in 2 contracts
Samples: Broker Dealer and General Agent (Equitable Financial Life Insurance Co of America), Broker Dealer and General Agent (Equitable America Variable Account No.70A)
Broker-Dealer Qualifications. The Broker-Dealer warrants and represents that it is a broker-dealer registered with the SEC under the 1934 Act, Act and is a member in good standing of FINRA. The Broker-Dealer mustwill, at all times when performing its functions and fulfilling its obligations under this Agreementduring the term hereof, be duly registered as a broker-dealer under the 1934 Act and in each state or other jurisdiction in which the Broker-Dealer intends it is required to be so registered to perform its functions and fulfill its obligations hereunder and in which such registration is requiredobligations, and be a member in good standing of FINRA.
Appears in 1 contract
Samples: Broker Dealer and General Agent Servicing Agreement (Keynote Series Account /Ny/)
Broker-Dealer Qualifications. The Broker-Dealer represents that it is a broker-dealer registered with the SEC under the 1934 Act, and is a member of the FINRA. The Broker-Dealer must, at all times when performing its functions and fulfilling its obligations under this Agreement, be duly registered as a broker-dealer under the 1934 Act and in each state or other jurisdiction in which the Broker-Dealer intends to perform its functions and fulfill its obligations hereunder and in which such registration is required, and be a member in good standing of the FINRA.
Appears in 1 contract
Samples: Broker Dealer and General Agent Sales Agreement (First Investors Life Variable Annuity Fund C)
Broker-Dealer Qualifications. The Broker-Dealer represents that it is a broker-dealer registered with the SEC under the 1934 Act, and is a member of FINRA. The Broker-Dealer must, at all times when performing its functions and fulfilling its obligations under this Agreement, be duly registered as a broker-dealer under the 1934 Act and in each state or other jurisdiction in which the Broker-Dealer intends to perform its functions and fulfill its obligations hereunder and in which such registration is required, and be a member in good standing of FINRA.
Appears in 1 contract
Samples: Broker Dealer and General Agent (Axa Equitable Life Insurance Co)
