Common use of COMPLIANCE WITH NASD RULES OF FAIR PRACTICE AND FEDERAL AND STATE SECURITIES LAWS Clause in Contracts

COMPLIANCE WITH NASD RULES OF FAIR PRACTICE AND FEDERAL AND STATE SECURITIES LAWS. Broker-Dealer shall fully comply with the requirements of the National Association of Securities Dealers, Inc., the Securities Exchange Act of 1934 and all other applicable federal and state laws. In addition, Broker-Dealer will establish and maintain such rules and procedures as may be necessary to cause diligent supervision of the securities activities of the Representatives as required by applicable law or regulation. Upon request by General Distributor, Broker-Dealer shall furnish such records as may be necessary to establish such diligent supervision.

COMPLIANCE WITH NASD RULES OF FAIR PRACTICE AND FEDERAL AND STATE SECURITIES LAWS. Broker-Dealer shall dealer will fully comply with the requirements of the National Association of Securities Dealers, Inc., Inc. and of the Securities Exchange Act of 1934 and all other applicable federal or state laws and state laws. In addition, Broker-Dealer will establish and maintain such rules and procedures as may be necessary to cause diligent supervision of the securities activities of the Representatives as required by applicable law or regulationsub-agents. Upon request by General DistributorClarendon, Broker-Dealer dealer shall furnish such appropriate records as may be necessary to establish such diligent supervision.

COMPLIANCE WITH NASD RULES OF FAIR PRACTICE AND FEDERAL AND STATE SECURITIES LAWS. Broker-Dealer shall fully comply with the requirements of the National Association of Securities Dealers, Inc., Inc. and of the Securities Exchange Act of 1934 and all other applicable federal or state laws and state laws. In addition, Broker-Dealer will establish and maintain such rules and procedures as may be necessary to cause diligent supervision of the securities activities of the Representatives as required by applicable law or regulationRepresentatives. Upon request by General DistributorCMFS, LLC, Broker-Dealer shall furnish such appropriate records as may be necessary to establish such diligent supervision.

COMPLIANCE WITH NASD RULES OF FAIR PRACTICE AND FEDERAL AND STATE SECURITIES LAWS. Broker-Dealer shall fully comply with the requirements of the National Association of Securities Dealers, Inc., Inc. and of the Securities Exchange Act of 1934 and all other applicable federal or state laws and state laws. In addition, Broker-Dealer will establish and maintain such rules and procedures as may be necessary to cause diligent supervision of the securities activities of the Representatives as required by applicable law or regulationRepresentatives. Upon request by General DistributorCFA, Broker-Broker- Dealer shall furnish such appropriate records as may be necessary to establish such diligent supervision.

COMPLIANCE WITH NASD RULES OF FAIR PRACTICE AND FEDERAL AND STATE SECURITIES LAWS. Broker-Dealer shall dealer will fully comply with the requirements of the National Association of Securities Dealers, Inc., Inc. and of the Securities Exchange Act of 1934 and all other applicable federal or state laws and state laws. In addition, Broker-Dealer will establish and maintain such rules and procedures as may be necessary to cause diligent supervision of the securities activities of the Representatives as required by applicable law or regulationGeneral Agent and the sub-agents. Upon request by General DistributorSentry, Broker-Dealer dealer shall furnish such appropriate records as may be necessary to establish such diligent supervision.

COMPLIANCE WITH NASD RULES OF FAIR PRACTICE AND FEDERAL AND STATE SECURITIES LAWS. Broker-Broker Dealer shall fully comply with the requirements of the National Association of Securities Dealers, Inc., the Securities Exchange Act of 1934 and all other applicable federal and state laws. In addition, Broker-Broker Dealer will establish and maintain such rules and procedures as may be necessary to cause diligent supervision of the securities activities of the Representatives as required by applicable law or regulation. Upon request by General Distributor, Broker-Broker Dealer shall furnish such records as may be necessary to establish such diligent supervision.