SUPERVISION OF 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 Plans, and all such persons shall be subject to the control of Broker-Dealer with respect to such persons' securities-regulated activities in connection with the Plans. Broker-Dealer will cause the Representatives to be trained in the sale of the Plans: will use its best efforts to cause such Representatives to qualify under applicable federal and state laws to engage in the sale of the Plans; and will cause such Representatives to be registered representatives of Broker-Dealer before such Representatives engage in the solicitation of applications for the Plans; and will cause such Representatives to limit solicitation of applications for the Plans to jurisdictions where GIAC has authorized such solicitation. Broker-Dealer shall cause such Representatives' qualifications to be certified to the satisfaction of GISC and shall notify GISC if any Representative ceases to be a registered representative of Broker-Dealer.
Appears in 8 contracts
Samples: Supervisory and Service Agreement (Guardian Separate Acct F of the Guardian Ins & Annuity Co), Service Agreement (Guardian Separate Account A), Supervisory and Service Agreement (Guardian Separate Account R)
SUPERVISION OF 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 Plans, and all such persons shall be subject to the control of Broker-Dealer with respect to such persons' ’ securities-regulated activities in connection with the Plans. Broker-Dealer will cause the Representatives to be trained in the sale of the Plans: will use its best efforts to cause such Representatives to qualify under applicable federal and state laws to engage in the sale of the Plans; and will cause such Representatives to be registered representatives of Broker-Dealer before such Representatives engage in the solicitation of applications for the Plans; and will cause such Representatives to limit solicitation of applications for the Plans to jurisdictions where GIAC has authorized such solicitation. Broker-Dealer shall cause such Representatives' ’ qualifications to be certified to the satisfaction of GISC and shall notify GISC if any Representative ceases to be a registered representative of Broker-Dealer.
Appears in 2 contracts
Samples: Broker Dealer Supervisory and Service (Guardian Separate Account R), Broker Dealer Supervisory and Service (Guardian Separate Account R)
SUPERVISION OF 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 Plans, Plans and all such persons shall be subject to the control of Broker-Dealer with respect to such persons' ’ securities-regulated activities in connection with the Plans. LBSC shall assist Broker-Dealer will cause the with training Broker-Dealer’s Representatives to be trained in the sale of the Plans: ; Broker-Dealer will use its best efforts to cause such Representatives to qualify under applicable federal and state laws to engage in the sale of the Plans; and will cause such Representatives to be registered representatives of Broker-Dealer before such Representatives engage in the solicitation of applications for the Plans; Plans and will cause such Representatives to limit solicitation of applications for the Plans to jurisdictions where GIAC AAL has authorized such solicitation. Broker-Dealer shall cause such Representatives' ’ qualifications to be certified to the satisfaction of GISC LBSC and shall notify GISC LBSC if any Representative ceases to be a registered representative of Broker-Dealer.
Appears in 1 contract
Samples: Broker Dealer Supervisory and Service Agent Agreement (Lb Variable Insurance Account I)
SUPERVISION OF 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 Plans, Plans and all such persons shall be subject to the control of Broker-Dealer with respect to such persons' securities-regulated activities in connection with the Plans. Broker-Dealer will cause the Representatives to be trained in the sale of the Plans: ; will use its best efforts to cause such Representatives to qualify under applicable federal and state laws to engage in the sale of the Plans; and will cause such Representatives to be registered representatives of Broker-Dealer before such Representatives engage in the solicitation of applications for the Plans; Plans and will cause such Representatives to limit solicitation of applications for the Plans to jurisdictions where GIAC Sun Life of Canada (U.S.) has authorized such solicitation. Broker-Dealer shall cause such Representatives' qualifications to be certified to the satisfaction of GISC Clarendon and shall notify GISC Clarendon if any Representative ceases to be a registered representative of Broker-Dealer.
Appears in 1 contract
Samples: Dealer Supervisory and Service Agreement (Money Market Variable Account /Ma/)
SUPERVISION OF 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 Plans, Plans and all such persons shall be subject to the control of Broker-Dealer with respect to such persons' ’ securities-regulated activities in connection with the Plans. CMC shall assist Broker-Dealer will cause the with training Broker-Dealer’s Representatives to be trained in the sale of the Plans: ; Broker-Dealer will use its best efforts to cause such Representatives to qualify under applicable federal and state laws to engage in the sale of the Plans; and will cause such Representatives to be registered representatives of Broker-Dealer before such Representatives engage in the solicitation of applications for the Plans; Plans and will cause such Representatives to limit solicitation of applications for the Plans to jurisdictions where GIAC AAL has authorized such solicitation. Broker-Dealer shall cause such Representatives' ’ qualifications to be certified to the satisfaction of GISC CMC and shall notify GISC CMC if any Representative ceases to be a registered representative of Broker-Dealer.
Appears in 1 contract
Samples: Broker Dealer Supervisory and Service Agent Agreement (Aal Variable Annuity Account Ii)
SUPERVISION OF REPRESENTATIVES. Broker-Dealer shall have full responsibility for the training and supervision of any and all Representatives associated with Broker-Dealer it who are engaged directly or indirectly in the offer or sale of the PlansContracts, and all such persons shall be subject to the control of Broker-Dealer with respect to such persons' securities-’ securities regulated activities in connection with the PlansContracts. Broker-Dealer will cause the such Representatives to be trained in the sale of the Plans: Contracts; will use its best efforts to cause such Representatives to qualify under applicable federal and state laws to engage in the sale of the PlansContracts; and will cause such Representatives to be registered representatives of Broker-Dealer before such Representatives engage in the solicitation of applications for the PlansContracts; and will cause such Representatives to limit solicitation of applications for the Plans Contracts to jurisdictions where GIAC MSC has authorized such solicitation. Broker-Dealer shall cause such Representatives' Representative’s qualifications to be certified to the satisfaction of GISC MSC and shall notify GISC MSC if any Representative ceases to be a registered representative of Broker-Dealer.
Appears in 1 contract
Samples: Dealer Supervisory and Sales Agreement (Mony America Variable Account A)
SUPERVISION OF 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 Plans, Plans and all such persons shall be subject to the control of Broker-Dealer with respect to such persons' securities-regulated activities in connection with the Plans. Broker-Dealer will cause the Representatives to be trained in the sale of the Plans: ; will use its best efforts to cause such Representatives to qualify under applicable federal and state laws to engage in the sale sales of the Plans; and will cause such Representatives to be registered representatives of Broker-Dealer before such Representatives engage in the solicitation of applications for the Plans; Plans and will cause such Representatives to limit solicitation of applications for the Plans to jurisdictions where GIAC Sun Life of Canada (U.S.) has authorized such solicitation. Broker-Dealer shall cause such Representatives' qualifications to be certified to the satisfaction of GISC Clarendon and shall notify GISC Clarendon if any Representative ceases to be a registered representative of Broker-Dealer.
Appears in 1 contract
Samples: Dealer Supervisory and Service Agreement (Money Market Variable Account /Ma/)