BUSINESS PRACTICES & COMPLIANCE. A. LAWS, RULES & REGULATIONS. The sale of securities is a highly regulated business. Representative, the Company and its registered representatives must refrain from any action that would result in violation, by Representative, the Company or any registered representative, of any applicable law, rule or regulation. As part of the proper performance of Representative’s duties, at all times during this Agreement, Representative shall comply with all applicable laws and rules including the FINRA Rules, Municipal Securities Rulemaking Board Rules, the statutes, regulations, rules and statements of policy promulgated and administered by the Securities and Exchange Commission, any state or municipal governmental or regulatory agency and the rules of any national or regional securities exchange in which the Company is or becomes a member.
Appears in 10 contracts
Samples: Registered Representative Agreement (Thrivent Variable Annuity Account I), Registered Representative Agreement (Thrivent Variable Life Account I), Registered Representative Agreement (Tlic Variable Annuity Account A)
