Clearing Services. You represent that you and each such Originating Firm are parties to a clearing agreement which conforms to the requirements of Rule 3230 of the FINRA Conduct Rules or, as applicable, the rules of a national securities exchange. In addition, you agree that (a) you are responsible for ensuring that Fund shares are offered and sold by Originating Firms in compliance with all terms and conditions of this Agreement and the Prospectus as if you had conducted such offers and sales yourself and (b) your agreements with each Originating Firm will comply with all arrangements of Regulation S-P of the U.S. Securities and Exchange Commission (“SEC”) and will require each Originating Firm to adopt policies and procedures that address suitable safeguards for the protection of consumer records and information.
Appears in 5 contracts
Samples: Mutual Fund Sales Agreement (Columbia Funds Series Trust I), Mutual Fund Sales Agreement (Separate Account I of National Integrity Life Ins Co), Mutual Fund Sales Agreement (Separate Account I of Integrity Life Insurance Co)
Clearing Services. You represent that you and each such Originating Firm are parties to a clearing agreement which conforms to the requirements of Rule 3230 of the FINRA Conduct Rules or, as applicable, the rules of a national securities exchange. In addition, you agree that (a) you are responsible for ensuring that Fund shares are offered and sold by Originating Firms in compliance with all terms and conditions of this Agreement and the Prospectus as if you had conducted such offers and sales yourself and (b) your agreements with each Originating Firm will comply with all arrangements of Regulation S-P of the U.S. Securities and Exchange Commission (“SEC”) and will require each Originating Firm to adopt policies and procedures that address suitable safeguards for the protection of consumer records and information.. Form of Mutual Fund Selling Agreement (5/10/23) 17
Appears in 2 contracts
Samples: Agreement Relating to Transactions in Mutual Fund Shares (Columbia Funds Series Trust), Agreement Relating to Transactions in Mutual Fund Shares (Columbia Funds Series Trust II)
Clearing Services. You represent that you and each such Originating Firm are parties to a clearing agreement which conforms to the requirements of Rule 3230 of the FINRA NASD Conduct Rules or, as applicable, the rules of a national securities exchange. In addition, you agree that (a) you are responsible for ensuring that Fund shares are offered and sold by Originating Firms in compliance with all terms and conditions of this Agreement and the Prospectus as if you had conducted such offers and sales yourself and (b) your agreements with each Originating Firm will comply with all arrangements of Regulation S-P of the U.S. Securities and Exchange Commission (“SEC”) and will require each Originating Firm to adopt policies and procedures that address suitable safeguards for the protection of consumer records and information.
Appears in 2 contracts
Samples: Mutual Fund Sales Agreement (Aul American Unit Trust), Mutual Fund Sales Agreement (Excelsior Funds Trust)
Clearing Services. You represent that you and each such Originating Firm are parties to a clearing agreement which conforms to the requirements of Rule 3230 of the FINRA Conduct Rules or, as applicable, the rules of a national securities exchange. In addition, you agree that (a) you are responsible for ensuring that Fund shares are offered and sold by Originating Firms in compliance with all terms and conditions of this Agreement and the Prospectus as if you had conducted such offers and sales yourself and (b) your agreements with each Originating Firm will comply with all arrangements of Regulation S-P of the U.S. Securities and Exchange Commission (“SEC”) and will require each Originating Firm to adopt policies and procedures that address suitable safeguards for the protection of consumer records and information.. Doc 318054v3 Form of Mutual Fund Selling Agreement (6/28/17) 17
Appears in 1 contract
Samples: Agreement Relating to Transactions in Mutual Fund Shares (Columbia Funds Series Trust II)
