OF THE 1934 ACT. Broker-Dealer represents that its Registered Representatives, who will be soliciting applications for the Registered Products, will be duly registered representatives associated with Broker-Dealer and that they will be representatives in good standing with accreditation as required by the NASD to sell the Registered Products. Broker-Dealer agrees to abide by all rules and regulations of the NASD, including its Conduct Rules, and to comply with all applicable state and federal laws and the rules and regulations of authorized regulatory agencies affecting the sale of the Products by Broker-Dealer or any of its associated Registered Representatives.
Appears in 3 contracts
Sources: Broker Dealer Sales and Supervision Agreement (Royal Life Insurance Co of America Separate Account Two), Broker Dealer Sales and Supervision Agreement (Icmg Registered Variable Life Separate Account One), Broker Dealer Sales and Supervision Agreement (Alpine Life Insurance Co Seperate Account Two)