Supervision of Registered Representatives Sample Clauses

Supervision of Registered Representatives. Broker-Dealer shall have full responsibility for the training and supervision of all Representatives associated with Broker-Dealer who are engaged directly or indirectly in the offer or sale of the Policies, and all such persons shall be subject to the control of Broker-Dealer with respect to such persons’ activities in connection with the sale of the Policies. Broker-Dealer shall comply with the Insurance Company’s administrative procedures involving federal securities laws and state insurance laws. Broker- Dealer shall comply, and shall cause the Representatives to comply, with all applicable federal and state laws, rules and regulations and FINRA rules governing best interest determinations and the suitability of recommendations to customers to purchase an annuity contract or make an exchange or replacement involving an annuity contract, including, without limitation, compliance with all applicable customer information disclosure requirements, customer information collection requirements, suitability and best interest determinations, supervisory review and approval requirements, personnel training requirements and related supervisory system requirements. In particular, and without limiting the foregoing, Broker-Dealer shall be responsible for ensuring that the Representatives, prior to engaging in the solicitation of applications for the Policies, meet the following requirements: (1) are trained in the sale of the Policies; (2) are qualified under applicable federal and state laws to engage in the sale of the Policies; (3) are registered representatives of Broker-Dealer; (4) will limit solicitation of applications for the Policies to jurisdictions where the Insurance Company has authorized such solicitation, and (5) will meet the customer information disclosure and collection requirements under all applicable laws, rules and regulations. Broker-Dealer shall cause such Representatives’ qualifications to be certified to the satisfaction of Ameritas Investment Company, LLC or the Insurance Company and shall notify Ameritas Investment Company, LLC if a Representative ceases to be a registered representative of Broker-Dealer. Broker-Dealer shall also cause all sales of the Policies to be reviewed for suitability as provided for in the FINRA rules. Broker-Dealer’s submission of an application for a Policy shall be deemed to be a representation that the Broker-Dealer has determined the Policy to be suitable for, and in the best interest of, the applicant under...
Sample 1
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Supervision of Registered Representatives. 1. Broker-Dealer shall have full responsibility for the training and supervision of all registered representatives, including the Agents, associated with Broker-Dealer who are engaged directly or indirectly in the offer or sale of the Variable Products, and all such persons shall be subject to the control of Broker-Dealer with respect to such persons’ activities in connection with the sale of the Variable Products. Broker-Dealer shall comply, and shall cause the Agents to comply, with all applicable federal and state laws, rules and regulations and FINRA rules governing best interest determinations and the suitability of recommendations, as applicable, to customers to purchase or exchange an insurance product registered with the SEC, including, without limitation, compliance with all applicable customer information disclosure requirements, customer information collection requirements, suitability and best interest determinations, supervisory review and approval requirements, personnel training requirements and related supervisory system requirements.
Sample 1
Supervision of Registered Representatives. Broker-Dealer shall have full responsibility for the training and supervision of all Representatives associated with Broker-Dealer who are engaged directly or indirectly in the offer or sale of the Policies, and all such persons shall be subject to the control of Broker-Dealer with respect to such persons' activities in connection with the sale of the Policies. Broker-Dealer shall comply with the Insurance Companies' administrative procedures involving federal securities laws and state insurance laws. Before Representatives engage in the solicitation of applications for the Policies, the Broker-Dealer will cause the Representatives (1) to be trained in the sale of the Policies; (2) to qualify under applicable federal and state laws to engage in the sale of the Policies; (3) to be registered representatives of Broker-Dealer; and (4) to limit solicitation of applications for the Policies to jurisdictions where the Insurance Companies have authorized such solicitation. Broker-Dealer shall cause such Representatives' qualifications to be certified to the satisfaction of Ameritas Investment Corp. or the Insurance Company and shall notify Ameritas Investment Corp. if a Representative ceases to be a registered representative of Broker-Dealer. Broker-Dealer shall also cause all sales of the Policies to be reviewed for suitability as provided for in the NASD rules. Broker-Dealer is specifically responsible for supervising and reviewing Representatives' use of sales literature and advertising and all other communications with the public in connection with the Policies. Upon request by Ameritas Investment Corp., Broker-Dealer shall furnish appropriate records or other documentation as evidence of Broker-Dealer's diligent supervision.
Sample 1

Related to Supervision of Registered Representatives

  • Registered Office; Registered Agent; Principal Office in the United States; Other Offices The registered office of the Company required by the Act to be maintained in the State of Delaware shall be the office of the initial registered agent named in the Delaware Certificate or such other office (which need not be a place of business of the Company) as the Management Committee may designate in the manner provided by Law. The registered agent of the Company in the State of Delaware shall be the initial registered agent named in the Delaware Certificate or such other Person or Persons as the Management Committee may designate in the manner provided by Law. The principal office of the Company in the United States shall be at such place as the Management Committee may designate, which need not be in the State of Delaware, and the Company shall maintain records there or such other place as the Management Committee shall designate and shall keep the street address of such principal office at the registered office of the Company in the State of Delaware. The Company may have such other offices as the Management Committee may designate.

  • Registered Office and Registered Agent; Principal Office (a) The registered office of the Company, required by the Act to be maintained in the State of Delaware, shall be the initial registered office named in the Certificate of Formation or such other office (which need not be a place of business of the Company) as the Member or an officer of the Company may designate from time to time in the manner provided by the Act.

  • Registered Office; Registered Agent; Principal Office; Other Offices Unless and until changed by the General Partner, the registered office of the Partnership in the State of Delaware shall be located at 0000 Xxxxxx Xxxxxx, Xxxxxxxxxx, Xxxxxxxx 00000, and the registered agent for service of process on the Partnership in the State of Delaware at such registered office shall be The Corporation Trust Company. The principal office of the Partnership shall be located at 0000 XxXxxxxx Xxxxxx, Houston, Texas 77010, or such other place as the General Partner may from time to time designate by notice to the Limited Partners. The Partnership may maintain offices at such other place or places within or outside the State of Delaware as the General Partner determines to be necessary or appropriate. The address of the General Partner shall be 0000 XxXxxxxx Xxxxxx, Houston, Texas 77010, or such other place as the General Partner may from time to time designate by notice to the Limited Partners.

  • Registered Office and Registered Agent The street address of the registered office of the Company in the State of Delaware shall be as selected by the Board. The Board may elect to change the registered office and the registered agent of the Company at any time.

  • Registered Office; Registered Agent; Principal Office The name of the Company’s registered agent for service of process is The Corporation Trust Company, and the address of the Company’s registered office in the State of Delaware is 0000 Xxxxxx Xxxxxx, Xxxxxxxxxx, Xxxxxxxx 00000. The principal place of business of the Company shall be located at 0000 Xxxx-Xxxx Xxxx, Xxxxxxxx, Virginia 24244. The Board may change the Company’s registered agent or the location of the Company’s registered office or principal place of business as the Board may from time to time determine.

  • Registered Office; Registered Agent The address of the registered office and the name and address of the registered agent of the Company in the State of Delaware is c/o The Corporation Trust Company, Corporation Trust Center, 0000 Xxxxxx Xxxxxx, Xxxx xx Xxxxxxxxxx, Xxxxxx of Xxx Xxxxxx, Xxxxxxxx 00000.

  • Maintenance of Corporate Trust Office The Owner Trustee shall maintain an office or offices or agency or agencies where Certificates may be surrendered for registration of transfer or exchange and where notices and demands to or upon the Owner Trustee in respect of the Certificates and the Basic Documents may be served. The Owner Trustee initially designates its office located at 000 Xxxxxxxx Xxxxxxx, 0xx Xxxxx, Xxxxxxxxxx, Xxxxxxxx 00000, as its principal office for such purposes. The Owner Trustee shall give prompt written notice to the Depositor, to the Servicer and to the Certificateholders of any change in the location of the Certificate Register or any such office or agency.

  • Place of Services The Services provided by Consultant or Consultant's Personnel hereunder will be performed at Consultant's offices except as otherwise mutually agreed by Consultant and the Company.

  • Registered Agent; Registered Office The registered agent for service of process on the Company in the State of Delaware shall be The Corporation Trust Company. The registered office of the Company in the State of Delaware shall be c/o The Corporation Trust Company, Corporation Trust Center, 0000 Xxxxxx Xxxxxx, Xxxxxxxxxx, Xxxxxxxx 00000, in the County of New Castle. The Board of Managers may, from time to time, change the registered agent or office through appropriate filings with the Secretary of State.

  • Name, Office and Registered Agent The name of the Partnership is XXXXX Operating Partnership L.P. The specified office and principal place of business of the Partnership shall be 000 Xxxx Xxxxxx, Xxx Xxxx, Xxx Xxxx 00000. The General Partner may at any time change the location of such office, provided the General Partner gives notice to the Partners of any such change. The name and address of the Partnership’s registered agent is Intertrust Corporate Services Delaware Ltd., 000 Xxxxxxxx Xxxxxxx, Xxxxx 000, Xxxxxxxx Park Corporate Center, Xxxxxxxxxx, Xxxxxxxx, 00000. The sole duty of the registered agent as such is to forward to the Partnership any notice that is served on him as registered agent.

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