MAINTENANCE OF NET CAPITAL. BROKER/DEALER shall have the authority and responsibility for maintenance of appropriate net capital and for limiting aggregate indebtedness as may be required under applicable provisions of the β34 Act, any regulations thereunder, or by the rules of FINRA.
Appears in 2 contracts
Samples: Broker Dealer Agreement (Allianz Life of Ny Variable Account C), Broker Dealer Agreement (Allianz Life Variable Account B)
MAINTENANCE OF NET CAPITAL. BROKER/DEALER shall have the authority and full responsibility for maintenance of appropriate net capital and for limiting aggregate indebtedness as may be required under applicable the provisions of the β34 Exchange Act, any and regulations thereunder, or by the rules of FINRANASD rules.
Appears in 2 contracts
Samples: Broker/Dealer Agreement (Variable Account I of Aig Life Ins Co), Broker/Dealer Agreement (Variable Account a American Intl Life Assur Co of New York)
