COMPLIANCE WITH NASD CONDUCT RULES AND FEDERAL AND STATE SECURITIES LAWS. Wholesaler shall fully comply with the rules and requirements of the NASD and of the Exchange Act and all other applicable federal or state laws and will establish such rules and procedures as may be necessary to cause diligent supervision of the securities activities of its registered persons. Upon request by Distributor, Wholesaler shall furnish such appropriate records as may be necessary to establish such diligent supervision.
Appears in 4 contracts
Samples: Wholesaling Agreement (Equitrust Life Variable Account Ii), Wholesaling Agreement (Equitrust Life Annuity Account Ii), Wholesaling Agreement (American Equity Life Variable Account)
