Notifications Required. Registered Rep shall immediately notify Broker-Dealer of: a. any action or fact which comes to Registered Rep's knowledge which may possibly constitute a violation of any law; b. any investigations or inquiries by governmental agencies; c. any judicial proceeding related to Registered Rep; d. loss or suspension of Registered Rep's insurance license or securities registration to sell Variable Products; and e. any other events as required under the Compliance Manual.
Appears in 2 contracts
Sources: Registered Representative Agreement (State Farm Life Insurance Co Variable Life Separate Account), Registered Representative Agreement (State Farm Life & Accident Assur Co Var Life Sep Acct)