NOTICE OF FORMAL PROCEEDINGS. The Trust, the Adviser, 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 FINRA, 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 (Protective NY COLI VUL), Participation Agreement (Protective COLI VUL), Participation Agreement (Mutual of America Separate Account No 2)
NOTICE OF FORMAL PROCEEDINGS. The Trust, the Adviser, 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 FINRAthe 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 5 contracts
Samples: Participation Agreement (Guardian Separate Acct N of the Guardian Ins & Annuity Co), Participation Agreement (Guardian Separate Account K), Participation Agreement (RS Variable Products Trust)
NOTICE OF FORMAL PROCEEDINGS. The Trust, the Adviser, Fund 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 FINRA, 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 3 contracts
Samples: Participation Agreement (Merger Fund Vl), Participation Agreement (Symetra Resource Variable Account B), Participation Agreement (First Symetra National Life Insurance Co of Ny Sep Acct S)
NOTICE OF FORMAL PROCEEDINGS. The Trust, the Adviser, 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 FINRA, 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 2 contracts
Samples: Participation Agreement (Victory Variable Insurance Funds), Victory Variable Insurance Funds
NOTICE OF FORMAL PROCEEDINGS. The Trust, the AdviserPIM, PFD 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 FINRAthe 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 PoliciesContracts, the operation of the Accounts, or the purchase of the Shares.
Appears in 2 contracts
Samples: Agreement (Golden American Life Insurance Co /Ny/), Agreement (Separate Account B of Golden American Life Insurance Co)
NOTICE OF FORMAL PROCEEDINGS. The Trust, the Adviser, Each Trust 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 FINRA, 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 (Corporate Sponsored Vul Separate Account I)
NOTICE OF FORMAL PROCEEDINGS. The Each Trust, the Adviser, 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 FINRA, 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 (Nationwide Variable Account-15)
NOTICE OF FORMAL PROCEEDINGS. The Trust, the AdviserMFD, 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 FINRA, 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 (Futurefunds Series Account of Great West Life & Ann Ins Co)
NOTICE OF FORMAL PROCEEDINGS. The Each Trust, the AdviserMFD, 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 FINRA, 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 1 Series Account)
NOTICE OF FORMAL PROCEEDINGS. The Trust, the Adviser, Fund 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 FINRA, the SEC, or any insurance department or any other regulatory body regarding such party’s party5 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
