Broker’s Bond. Unless exempt pursuant to FINRA Rule 4360, the Distributor shall maintain an appropriate broker’s blanket bond covering any and all acts of its officers, directors, employees and other agents reasonably necessary to indemnify the Company and the Separate Accounts against any loss which any person may suffer or incur, directly or indirectly, as a result of any act or omission by the Distributor or its officers, directors, employees or agents. If the Distributor claims exemption from such requirements pursuant to FINRA Rule 4360, the Distributor shall provide to the Company on an annual basis a copy of the Distributor’s Form SIPC-3 certification or such other certification as the Company may deem acceptable.
Broker’s Bond. Distributor shall maintain an appropriate broker’s blanket bond covering any and all acts of its officers, directors, employees and other agents reasonably necessary to indemnify the Company and the Separate Accounts against any loss which any person may suffer or incur, directly or indirectly, as a result of any act or omission by the Distributor or its officers, directors, employees or agents.
Broker’s Bond. 17 Section 2.22 SIPC REGISTRATION. . . . . . . . . . . . . . . . . . . 17 Section 2.23
Broker’s Bond. XXXXXX CAPITAL currently has in effect a blanket Broker-Dealer fidelity bond as summarized in Schedule 2.21.
Broker’s Bond. MESA will at all times maintain a broker’s security bond in the minimum amount required by law. Currently, the law requires that a broker maintain a security bond or broker’s trust fund in the amount of at least $75,000. XXXX currently maintains a broker’s security bond in the amount of $75,000.
Broker’s Bond. Xxxxxx currently has in effect a blanket broker-dealer fidelity bond, a copy of which has previously been delivered to Eastbrokers.
Broker’s Bond. Nxxx Wxxxx currently has in effect a blanket broker-dealer fidelity bond, a copy of which has previously been delivered to Quick & Rxxxxx.
Broker’s Bond. Cohig currently has in effect a blanket broker-dealer fidelity bond, a copy of which has previously been delivered to Eastbrokers.
Broker’s Bond. LHF currently has in effect a blanket Broker-Dealer fidelity bond as summarized in SCHEDULE 2.32.
Broker’s Bond. TRIVERGIX will at all times maintain a broker’s security bond in at least the minimum amount required by law.
