NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, and the Company agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASD, the SEC, or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 142 contracts
Samples: Participation Agreement (Variable Account D of Union Security Insurance Co), Participation Agreement (Separate Account a of Union Security Life Ins Co of New York), Participation Agreement (Variable Account D of Union Security Insurance Co)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, and the Company agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASD, the SEC, or any insurance department or any other regulatory body regarding such party's ’s duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 25 contracts
Samples: Participation Agreement (Separate Account a of Pacific Life & Annuity Co), Participation Agreement (Separate Account a of Pacific Life & Annuity Co), Participation Agreement (Separate Account a of Pacific Life Insurance Co)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, Each Trust and the Company MFD agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASDFINRA, the SEC, or any insurance department or any other regulatory body regarding such party's ’s duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 22 contracts
Samples: Participation Agreement (Horace Mann Life Insurance Co Separate Account), Participation Agreement (Aul American Individual Variable Life Unit Trust), Participation Agreement (Protective NY COLI VUL)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, Each Trust and the Company MFD agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASDFINRA, the SEC, or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 12 contracts
Samples: Participation Agreement (Prudential Annuities Life Assurance Corp Variable Account B), Fund Participation and Service Agreement (Horace Mann Life Insurance Co Separate Account), Participation Agreement (Principal Life Insurance Co Separate Account B)
NOTICE OF FORMAL PROCEEDINGS. The Each Trust, MFSMFD, and the Company agree that each such party shall promptly notify the other parties to this thiis Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASDFINRA, the SEC, or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 7 contracts
Samples: Participation Agreement (Lincoln Life & Annuity Flexible Premium Variable Life Account M), Participation Agreement (Lincoln Life & Annuity Flexible Premium Variable Life Account M), Participation Agreement (Lincoln Life Flexible Premium Variable Life Account M)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, Trust and the Company MFD agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASDFINRA, the SEC, or any insurance department or any other regulatory body regarding such party's ’s duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 5 contracts
Samples: Participation Agreement (Ml of New York Variable Annuity Separate Account A), Participation Agreement (Ml of New York Variable Life Separate Account), Participation Agreement (Ml of New York Variable Annuity Separate Account B)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, MFS and the Company agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by NASD Regulation, Inc. (the NASD"NASDR"), the SEC, or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 5 contracts
Samples: Participation Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co), Participation Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co), Participation Agreement (Variable Account a American Intl Life Assur Co of New York)
NOTICE OF FORMAL PROCEEDINGS. The Each Trust, MFS, MFD and the Company agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASDFINRA, the SEC, or any insurance department or any other regulatory body regarding such party's ’s duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 3 contracts
Samples: Participation Agreement (Variable Annuity Account A), Participation Agreement (Variable Annuity Account A), Participation Agreement (SBL Variable Annuity Account Xiv)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, 214110 Each Trust and the Company MFD agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASDFINRA, the SEC, or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 2 contracts
Samples: Participation Agreement (Allianz Life of Ny Variable Account C), Participation Agreement (Allianz Life Variable Account B)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, and the Company agree that each such party shall promptly notify the other parties to this tills Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASD, the SEC, or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 2 contracts
Samples: Participation Agreement (Lincoln Life Variable Annuity Account N), Participation Agreement (Lincoln Life Variable Annuity Account N)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, and the Company agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASDXXXX, the SEC, or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 2 contracts
Samples: Participation Agreement (Ge Capital Life Separate Account Ii), Participation Agreement (Ge Capital Life Separate Account Ii)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, Each Trust and the Company MFD agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASDFINRA, the SEC, or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 2 contracts
Samples: Participation Agreement (Allianz Life of Ny Variable Account C), Participation Agreement (Allianz Life Variable Account B)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, and the Company agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASD, the SEC, or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the PoliciesContracts, the operation of the Accounts, or the purchase of the Shares.
Appears in 2 contracts
Samples: Participation Agreement (Nationwide VL Separate Account-G), Participation Agreement (Nationwide VL Separate Account-G)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFSMFD, and the Company agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASDFINRA, the SEC, or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 1 contract
Samples: Participation Agreement (Futurefunds Series Account of Great West Life & Ann Ins Co)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, MFS and the Company agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by NASD Regulation, Inc. (the NASD“NASDR”), the SEC, or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 1 contract
Samples: Participation Agreement (Variable Annuity Acct C of Ing Life Insurance & Annuity Co)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, Trust and the Company MFD agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASDFINRA, the SEC, or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 1 contract
Samples: Participation Agreement (Merrill Lynch Life Variable Life Separate Account Ii)
NOTICE OF FORMAL PROCEEDINGS. The Each Trust, MFSMFD, and the Company agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASDFINRA, the SEC, or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 1 contract
Samples: Participation Agreement (Variable Annuity 1 Series Account)
NOTICE OF FORMAL PROCEEDINGS. The Each Trust, MFS, MFD and the Company agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASDFINRA, the SEC, or any insurance department or any other regulatory body regarding such party's ’s duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 1 contract
Samples: Participation Agreement (Nationwide Variable Account-15)
NOTICE OF FORMAL PROCEEDINGS. The Each Trust, MFSMFD, and the Company agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASDFINRA, the SEC, or any insurance department or any other regulatory body regarding such party's ’s duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 1 contract
Samples: Participation Agreement (Variable Annuity-2 Series Account)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, and the Company Underwriter agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASDFINRA, the SEC, or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 1 contract
Samples: Participation Agreement (Metlife of Ct Fund Ul Iii for Variable Life Insurance)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, and the Company company agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASD, the SEC, or any insurance department or any other regulatory body regarding such party's ’s duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 1 contract
Samples: Participation Agreement (C M Life Variable Life Separate Account I)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, and the Company agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASD, the SEC, or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 1 contract
Samples: Participation Agreement (Separate Account Va-K of Commonwealth Annuity & Life Insurance Co)
NOTICE OF FORMAL PROCEEDINGS. The Trust, . MFS, . and the Company agree that each such party shall promptly notify the other parties to this Agreement, Agreeinent~ in writing, of the institution of any all), formal proceedings brought against such party or its designees by the b~ tile NASD, the . tile SEC, . or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the tile purchase of the Shares.
Appears in 1 contract
Samples: Participation Agreement (Lincoln Life Variable Annuity Account N)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, and the Company agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASDNASO, the SEC, or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 1 contract
Samples: Participation Agreement (Prudential Variable Contract Account Gi-2)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, and the Company agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASDFINRA, the SEC, or any insurance department or any other regulatory body regarding such party's ’s duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 1 contract
Samples: Participation Agreement (Variable Annuity Account a of Protective Life)
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, MFS and the Company agree that each such party shall promptly notify the other parties party to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by NASD Regulation, Inc. (the NASD"NASDR"), the SEC, or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, the Trust, or the Funds, or the purchase of the Shares.
Appears in 1 contract
NOTICE OF FORMAL PROCEEDINGS. The Trust, MFS, and the Company agree that each such party shall promptly notify the other parties to this Agreement, in writing, of the institution of any formal proceedings brought against such party or its designees by the NASD, the SEC, . or any insurance department or any other regulatory body regarding such party's duties under this Agreement or related to the sale of the Policies, the operation of the Accounts, or the purchase of the Shares.
Appears in 1 contract
Samples: Participation Agreement (Principal Life Insurance Co Variable Life Sep Account)
