Supervisory Responsibilities of Broker-Dealer. The Broker-Dealer shall be responsible for securities training, supervision and control of the Agents in connection with their solicitation activities and any incidental services with respect to the Contracts and shall supervise Agents' strict compliance with applicable federal and state securities laws and NASD requirements in connection with such solicitation activities and with the rules and procedures of the Equitable Life Companies.
Appears in 5 contracts
Samples: Broker Dealer and General Agent (Separate Account Fp of Equitable Variable Life Insurance Co), Broker Dealer and General Agent (Separate Account Fp of Equitable Variable Life Insurance Co), Broker Dealer and General Agent (Separate Account Fp of Equitable Variable Life Insurance Co)
Supervisory Responsibilities of Broker-Dealer. The Broker-Dealer shall be responsible for securities training, supervision and control of the Agents in connection with their solicitation activities and any incidental services with respect to the Contracts and shall supervise Agents' strict compliance with applicable federal and state securities laws and NASD requirements in connection with such solicitation activities and with the rules and procedures of the Equitable Life CompaniesCompany.
Appears in 3 contracts
Samples: Selling Agreement (Metlife Investors Variable Life Account Five), Selling Agreement (Metlife Investors Variable Life Account One), Selling Agreement (Metlife Investors Variable Life Account One)
Supervisory Responsibilities of Broker-Dealer. The Broker-Dealer shall be responsible for securities training, supervision and control of the Agents in connection with their solicitation activities and any incidental services with respect to the Contracts and shall supervise Agents' ’ strict compliance with applicable federal and state securities laws and NASD FINRA requirements in connection with such solicitation activities and with the rules and procedures of the AXA Equitable Life Companies.
Appears in 2 contracts
Samples: Broker Dealer and General Agent (Axa Equitable Life Insurance Co), Broker Dealer and General Agent (Separate Account a of Axa Equitable Life Insurance Co)
Supervisory Responsibilities of Broker-Dealer. The Broker-Dealer shall be ______________________________________________ responsible for securities training, supervision and control of the Agents in connection with their solicitation activities and any incidental services with respect to the Contracts and shall supervise Agents' strict compliance with applicable federal and state securities laws and NASD requirements in connection with such solicitation activities and with the rules and procedures of the Equitable Life CompaniesCompany.
Appears in 2 contracts
Samples: Selling Agreement (First Metlife Investors Variable Annuity Account One), Selling Agreement (Metlife Investors Variable Annuity Account One)
Supervisory Responsibilities of Broker-Dealer. The Broker-Dealer shall be responsible for securities training, supervision and control of the Agents in connection with their solicitation activities and any incidental services with respect to the Contracts and shall supervise Agents' ’ strict compliance with applicable federal and state securities laws and NASD FINRA requirements in connection with such solicitation activities and with the rules and procedures of the Equitable Life Companies.
Appears in 2 contracts
Samples: Broker Dealer and General Agent (Equitable Financial Life Insurance Co of America), Broker Dealer and General Agent (Equitable America Variable Account No.70A)
Supervisory Responsibilities of Broker-Dealer. The Broker-Dealer shall be responsible for securities training, supervision and control of the Agents in connection with their solicitation activities and any incidental services with respect to the Contracts Product and shall supervise Agents' ’ strict compliance with applicable federal and state securities laws and NASD FINRA requirements in connection with such solicitation activities and with the rules and procedures of the AXA Equitable Life Companiesand Distributor.
Appears in 1 contract
Samples: Broker Dealer and General Agent (Axa Equitable Life Insurance Co)
Supervisory Responsibilities of Broker-Dealer. The Broker-Dealer shall be responsible for securities training, supervision and control of the Agents in connection with their solicitation activities and any incidental services with respect to the Contracts Contracts, and shall supervise Agents' strict compliance with with, applicable federal and state securities laws and NASD SEC and FINRA requirements in connection with such solicitation activities and with the rules and procedures of FLIAC, as provided in writing to the Equitable Life Companies.Broker-Dealer by FLIAC from time to time. Without limiting the generality of the foregoing, Broker-Dealer shall:
Appears in 1 contract
Samples: Broker Dealer and General Agent Sales Agreement (First Investors Life Variable Annuity Fund C)
