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: Broker Dealer Supervisory and Service Agreement (Guardian Separate Account R), Broker Dealer Supervisory and Service Agreement (Guardian Separate Account B), Broker Dealer Supervisory and Service Agreement (Guardian Value Line Separate Account)
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 Agreement (Guardian Separate Account R), Broker Dealer 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, 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 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 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: Broker 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 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: Marketing Coordination and Administrative Services 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. 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: Marketing Coordination and Administrative Services Agreement (Money Market Variable Account /Ma/)