NOTICE OF REPRESENTATIVE'S NONCOMPLIANCE. In the event a Representative fails or refuses to submit to supervision of Broker-Dealer or otherwise fails to meet the rules and standards imposed by Broker-Dealer on its Representatives, Broker-Dealer shall certify such fact to GIAC and shall immediately notify such Representative that he or she is no longer authorized to sell the Plans, and Broker-Dealer shall take whatever additional action may be necessary to terminate the sales activities of such Representative relating to the Plans.
Appears in 10 contracts
Samples: Broker Dealer Supervisory and Service Agreement (Guardian Separate Account R), Broker Dealer Supervisory and Service Agreement (Guardian Separate Account R), Broker Dealer Supervisory and Service Agreement (Guardian Separate Acct F of the Guardian Ins & Annuity Co)
NOTICE OF REPRESENTATIVE'S NONCOMPLIANCE. In the event a Representative fails or refuses to submit to supervision of Broker-Dealer or otherwise fails to meet the rules and standards imposed by Broker-Dealer on its Representatives, Broker-Dealer shall certify such advise General Distributor of this fact to GIAC and shall immediately notify such Representative that he or she is no longer authorized to sell the Plans, Variable Contracts and Broker-Dealer shall take whatever additional action may be necessary to terminate the sales activities of such Representative relating to the Planssuch contracts and policies.
Appears in 5 contracts
Samples: Broker Dealer Agency Selling Agreement (Reliastar Bankers Security Life Insurance Co), Broker Dealer Agency Selling Agreement (Reliastar Bankers Security Life Insurance Co), Broker Dealer Agency Selling Agreement (Reliastar Bankers Security Life Insurance Co)
NOTICE OF REPRESENTATIVE'S NONCOMPLIANCE. In the event a Representative fails or refuses to submit to supervision of Broker-Dealer or otherwise fails to meet the rules and standards imposed by Broker-Dealer on its Representatives, Broker-Dealer shall certify such advise General Distributor of this fact to GIAC and shall immediately notify such Representative that he or she is no longer authorized to sell the Plans, Variable Contracts and Broker-Dealer shall take whatever additional action may be necessary to terminate the sales activities of such Representative relating to the PlansVariable Contracts.
Appears in 3 contracts
Samples: Broker Dealer Agency Selling Agreement (Reliastar Bankers Security Life Insurance Co), Broker Dealer Agency Selling Agreement (Reliastar Bankers Security Life Insurance Co), Broker Dealer Agency Selling Agreement (Reliastar Bankers Security Life Insurance Co)
NOTICE OF REPRESENTATIVE'S NONCOMPLIANCE. In the event a Representative fails or refuses to submit to supervision of Broker-Dealer or otherwise fails to meet the rules and standards imposed by Broker-Dealer on its Representatives, Broker-Dealer shall certify such advise General Distributor of this fact to GIAC and shall immediately notify such Representative that he or she is no longer authorized to sell the Plans, Variable Contracts or Traditional Life Insurance Policies and Broker-Dealer shall take whatever additional action may be necessary to terminate the sales activities of such Representative relating to the Planssuch contracts and policies.
Appears in 3 contracts
Samples: Broker Dealer Agency Selling Agreement (Reliastar Bankers Security Life Insurance Co), Broker Dealer Agency Selling Agreement (Reliastar Bankers Security Life Insurance Co), Broker Dealer Agency Selling Agreement (Reliastar Bankers Security Life Insurance Co)
NOTICE OF REPRESENTATIVE'S NONCOMPLIANCE. In the event a Representative fails or refuses to submit to supervision of Broker-Broker Dealer or otherwise fails to meet the rules and standards imposed by Broker-Broker Dealer on its Representatives, Broker-Broker Dealer shall certify such advise General Distributor of this fact to GIAC and shall immediately notify such Representative that he or she is no longer authorized to sell the Plans, Variable Contracts and Broker-Broker Dealer shall take whatever additional action may be necessary to terminate the sales activities of such Representative relating to the Planssuch contracts and policies.
Appears in 2 contracts
Samples: Broker Dealer Agency Selling Agreement (Select Life Variable Account), Broker Dealer Selling Agreement (Reliastar Life Insur Co of Ny Var Annuity Separate Acct Ii)
NOTICE OF REPRESENTATIVE'S NONCOMPLIANCE. In the event a Representative fails or refuses to submit to supervision of Broker-Dealer Dealer, ceases to be a registered representative of Broker-Dealer, or otherwise fails to meet the rules and standards imposed by Broker-Dealer Producers on its their Representatives, Broker-Dealer Producers shall certify such fact to GIAC WRL and shall immediately notify such Representative that he or she is no longer authorized to sell the Plans, and Broker-Dealer Producers shall take whatever additional action may be necessary to terminate the sales activities of such Representative relating to the Plans.
Appears in 2 contracts
Samples: Broker/Dealer Supervisory and Service Agreement (WRL Series Life Account), Broker Dealer Supervisory and Service Agreement (WRL Series Annuity Account)
NOTICE OF REPRESENTATIVE'S NONCOMPLIANCE. In the event a Representative fails or refuses to submit to supervision of Broker-Dealer or otherwise fails to meet the rules and standards imposed by Broker-Dealer on its Representatives, Broker-Dealer shall certify such fact to GIAC AAL and shall immediately notify such Representative that he or she is no longer authorized to sell the Plans, and Broker-Dealer shall take whatever additional action may be necessary to terminate the sales activities of such Representative relating to the Plans.
Appears in 2 contracts
Samples: Broker Dealer Supervisory and Service Agent Agreement (Aal Variable Annuity Account Ii), Broker Dealer Supervisory and Service Agent Agreement (Lb Variable Insurance Account I)
NOTICE OF REPRESENTATIVE'S NONCOMPLIANCE. In the event a Representative fails or refuses to submit to supervision of Broker-Broker Dealer or otherwise fails to meet the rules and standards imposed by Broker-Broker Dealer on its Representatives, Broker-Broker Dealer shall certify such advise General Distributor of this fact to GIAC and shall immediately notify such Representative that he or she is no longer authorized to sell the Plans, Variable Contracts and Broker-Broker Dealer shall take whatever additional action may be necessary to terminate the sales activities of such Representative relating to the PlansVariable Contracts.
Appears in 2 contracts
Samples: Broker Dealer Selling Agreement (Reliastar Life Insur Co of Ny Var Annuity Separate Acct Ii), Broker Dealer Agency Selling Agreement (Select Life Variable Account)
NOTICE OF REPRESENTATIVE'S NONCOMPLIANCE. In the event a Representative fails or refuses to submit to supervision of Broker-Dealer or otherwise fails to meet the rules and standards imposed by Broker-Dealer on its Representativesrepresentatives, Broker-Dealer shall certify such fact to GIAC CMFS, LLC and shall immediately notify such Representative that he or she is no longer authorized to sell the PlansPolicies, and Broker-Dealer shall take whatever additional action may be necessary to terminate the sales activities of such Representative relating to the PlansPolicies.
Appears in 1 contract
Samples: Broker/Dealer Agreement (CML Offitbank Separate Account)
NOTICE OF REPRESENTATIVE'S NONCOMPLIANCE. In the event a Representative fails or refuses to submit to supervision of Broker-Dealer or otherwise fails to meet the rules and standards imposed by Broker-Dealer on its RepresentativesRepresentative, Broker-Dealer shall certify such fact to GIAC MSC and shall immediately notify such Representative that he or she is no longer authorized to sell the PlansContracts, and Broker-Dealer shall take whatever additional action may be necessary to terminate the sales activities of such Representative relating to the PlansContracts.
Appears in 1 contract
Samples: Broker Dealer Supervisory and Sales Agreement (Mony America Variable Account A)
NOTICE OF REPRESENTATIVE'S NONCOMPLIANCE. In the event a Representative fails or refuses to submit to supervision of Broker-Dealer or otherwise fails to meet the rules and standards imposed by Broker-Dealer on its Representatives, Broker-Dealer shall certify such advise CFA of this fact to GIAC and shall immediately notify such Representative that he or she is no longer authorized to sell any of the Plans, Policies and Broker-Dealer shall take whatever additional action may be necessary to terminate the sales activities of such Representative relating to the PlansPolicies.
Appears in 1 contract
Samples: Broker Dealer Selling Agreement (Cigna Variable Annuity Separate Account I)
