Customer Complaints. Distributor shall comply with the reporting requirements imposed by Section 3070 of the NASD Rules of Conduct with regard to the sales of the Funds. Without limiting the foregoing, Distributor shall notify the NASD if Distributor or persons associated with Distributor are the subject of any written customer complaint involving allegations of theft, forgery or misappropriation of funds or securities, or is the subject of any claim for damages by a customer, broker, or dealer which is settled for an amount exceeding $15,000.
Appears in 8 contracts
Samples: Distribution Agreement (State Farm Mutual Fund Trust), Amended and Restated Distribution Agreement (State Farm Mutual Fund Trust), Amended and Restated Distribution Agreement (State Farm Mutual Fund Trust)
Customer Complaints. Distributor shall comply with the reporting requirements imposed by Section 3070 of the NASD Rules of Conduct with regard to the sales of the FundsContracts. Without limiting the foregoing, Distributor shall notify the NASD if Distributor or persons associated with Distributor are the subject of any written customer complaint involving allegations of theft, forgery or misappropriation of funds or securities, or is the subject of any claim for damages by a customer, broker, or dealer which is settled for an amount exceeding $15,000.
Appears in 4 contracts
Samples: Distribution Agreement (State Farm Life Insurance Co Variable Annuity Separate Act), Distribution Agreement (State Farm Life & Accident Assur Co Var Life Sep Acct), Distribution Agreement (State Farm Life & Accident Ass Co Var Ann Sep Acct)
Customer Complaints. Distributor shall agrees that it will comply with the reporting requirements imposed by Section 3070 of the NASD Rules of Conduct with regard to the sales of the FundsContracts. Without limiting the foregoing, Distributor shall agrees to notify the NASD if Distributor or persons associated with the Distributor are the subject of any written customer complaint involving allegations of theft, forgery or misappropriation of funds or securities, or is the subject of any claim for damages by a customer, broker, or dealer which is settled for an amount exceeding $15,000.
Appears in 2 contracts
Samples: Distribution Agreement (Farmers Annuity Separate Account A), Distribution Agreement (Farmers Annuity Separate Account A)
Customer Complaints. Distributor shall agrees that it will comply with the -------------------- reporting requirements imposed by Section 3070 of the NASD Rules of Conduct with regard to the sales of the FundsContracts. Without limiting the foregoing, Distributor shall agrees to notify the NASD if Distributor or persons associated with the Distributor are the subject of any written customer complaint involving allegations of theft, forgery or misappropriation of funds or securities, or is the subject of any claim for damages by a customer, broker, or dealer which is settled for an amount exceeding $15,000.
Appears in 1 contract
Samples: Exhibit 3 (State Farm Life Insurance Co Variable Annuity Separate Act)
