Amendment No. 2 to the Broker-Dealer Supervisory and Service Agreement
Amendment No. 2 to the Broker-Dealer Supervisory and Service Agreement
This Amendment No. 2 (“Amendment No. 2”) to the Broker-Dealer Supervisory and Service Agreement, dated January 15, 1993 (“Original Selling Agreement”), is entered into by Investors Capital Corporation, a Delaware company, (“Broker-Dealer”) Phoenix Life Insurance Company (“PLIC”), a New York company and PHL Variable Insurance Company (“PHL Variable”), a Connecticut company, both with administrative offices at One American Row, P. O. Xxx 0000, Xxxxxxxx, Xxxxxxxxxxx 00000-0000 and Phoenix Equity Planning Corporation, a Delaware company, (“PEPCO”) effective as of January 29, 2010 (“Effective Date”).
WHEREAS, Broker-Dealer, PEPCO, PLIC and PHL Variable desire to clarify the name of the product listed on Xxxxxxxx X-0 to Amendment No. 1 to the Original Selling Agreement and to set forth an additional representation with respect to that product.
| 1. | Addendum A-1 to Amendment No. 1 to the Original Selling Agreement is hereby replaced with the attached Addendum A-1 dated January 29, 2010. |
| 2. | The parties agree and acknowledge that Investors Capital Corporation has obligations under FINRA Rules 2730, 2740, 2420 and 2750, or their successor rules, to the extent applicable to the Phoenix Guaranteed Income EdgeSM. |
| Phoenix Life Insurance Company | PHL Variable Insurance Company | |||||||
| By: | /s/ Xxxx Xxxxx Xxxxxx | By: | /s/ Xxxx Xxxxx Xxxxxx | |||||
| Name: |
Xxxx X. Xxxxxx | Name: | Xxxx X. Xxxxxx | |||||
| Title: | Vice President | Title: | Vice President | |||||
| Date: | April 26, 2010 | Date: | April 26, 2010 | |||||
| Investors Capital Corporation | Phoenix Equity Planning Corporation | |||||||
| By: | /s/ Xxxxxxxx X. Xxxxxxx | By: | /s/ Xxxxxxxx X. XxXxx | |||||
| Name: | Xxxxxxxx X. Xxxxxxx | Name: | Xxxxxxxx X. XxXxx | |||||
| Title: | Chairman | Title: | Vice President | |||||
| Date: | April 26, 2010 | Date: | April 23, 2010 | |||||
Addendum A-1 dated January 29, 2010
To the Broker-Dealer Supervisory and Service Agreement
entered into as of January 15, 1993
Phoenix Guaranteed Income EdgeSM-Commission 0%
