Registered Representatives Clause Samples

Registered Representatives. (i) Distributor shall have as a registered representative such employees of the Trust’s affiliated entities, as the parties mutually shall agree (“Dual Representatives”). Distributor may terminate the registration with Distributor of any such Dual Representative with or without cause at any time, in its sole discretion. Each Dual Representative shall be subject to and shall comply fully with such operating and other policies and procedures as may be established from time to time by Distributor and communicated to such Dual Representative (the “Procedures”) and all applicable laws, rules and regulations. In no event and under no circumstances shall any Dual Representative provide investment advice or make any recommendations about any investment including an investment in the Funds during the scope of such Dual Representative’s registration by Distributor pursuant to this Agreement. (ii) Distributor may designate the principal office of one of Trust’s affiliated entities, as either a branch office or an office of supervisory jurisdiction of Distributor. (iii) Distributor shall not offer, and Dual Representatives shall not be entitled to, any benefits otherwise available to employees of Distributor and shall not be entitled to any compensation from Distributor. (iv) The Dual Representatives will be instructed not to use any advertising or sales material relating to the Funds unless and until such materials have been approved and authorized for use by Distributor.

Registered Representatives. (i) Distributor shall have as a registered representative such employees of the Funds' investment advisors as the parties mutually shall agree ("Dual Representatives"). Distributor may terminate the registration with Distributor of any such Dual Representative with or without cause at any time, in its sole discretion. Each Dual Representative shall be subject to and shall comply fully with such operating and other policies and procedures as may be established from time to time by Distributor and communicated to such Dual Representative (the "Procedures") and all applicable laws, rules and regulations. In no event and under no circumstances shall any Dual Representative provide investment advice or make any recommendations about any investment including an investment in the Funds during the scope of such Dual Representative's registration by UMBDS pursuant to this Agreement. (ii) Distributor may designate the principal office of a Fund's investment advisor as either a branch office or an office of supervisory jurisdiction of Distributor. (iii) Distributor shall not offer, and Dual Representatives shall not be entitled to, any benefits otherwise available to employees of Distributor and shall not be entitled to any compensation from Distributor.

Registered Representatives. Please forward signed Subscription Agreements and checks to Great Nation Investment Corporation, 5408 ▇ ▇▇▇▇ ▇▇▇▇▇▇, Amarillo, Texas 79109, Attention: Mr. Pat ▇▇▇at. The following signature and other documentation requirements have been established for the following forms of ownership of the Notes: JOINT TENANTS AND TENANTS IN COMMON: The signatures of all joint tenants and tenants in common investors are required unless a separate document, signed by all parties and designating one a the agent of the other(s) for purposes of signing the Subscription Agreement, accompanies the Subscription Agreement.

Registered Representatives. The Broker-Dealer may recommend persons associated with it who are duly licensed and qualified under applicable law and regulations to act in the offer or sale of the Products (the "Registered Representatives") for appointment as insurance agents of the Insurance Company, PROVIDED that such person: (a) has not been subject to any civil, administrative or criminal actions or sanctions by, or entered into any settlement agreements with, any governmental or quasi-governmental regulatory authority or self regulatory organization, (b) has not been precluded or restricted for any period of time by any entity from selling any securities, insurance products or other products of such entity, (c) otherwise is qualified to offer and sell the Products, (d) agrees in writing (i) to comply with all of the obligations of the Broker-Dealer and the Registered Representatives hereunder, (ii) not to make any recommendation to an applicant or prospective purchaser to purchase a Product without having reasonable grounds to believe that the purchase of the Product is suitable for the prospective purchaser, (iii) to report promptly in writing to the Insurance Company and FUS all customer or regulatory complaints or inquiries with respect to such Registered Representative, whether written or oral, and to assist the Insurance Company and FUS in resolving any complaint to the satisfaction of all parties involved, (e) possesses all Required Registrations and agrees to maintain in force during the term hereof all Required Registrations, and (f) agrees that prior to soliciting Products on behalf of the Insurance Company that he/she must be ALLMERICA DRAFT DECEMBER 15, 1999 appointed as an insurance agent of the Insurance Company. The Broker-Dealer is authorized, except as hereinafter specifically provided, to cause the Registered Representatives to offer and sell the Products in the states and jurisdictions in which the Products, the Broker-Dealer and such Registered Representatives are registered, licensed and appointed or otherwise appropriately qualified. The Broker-Dealer shall be solely responsible for the supervision of the Registered Representatives and shall enforce written supervisory procedures to assure strict compliance with NASD rules and applicable rules and regulations under the 1934 Act, and other applicable federal and state statutes and regulations. The Broker-Dealer agrees to provide to the Registered Representatives instructions sufficient to provide them with info...

Registered Representatives. Continued solicitation for the Contracts shall be contingent upon the continuing qualification of the Registered Representatives by possession of the required licenses, appointments, and registrations. Broker/Dealer shall notify Distributor immediately in writing if any Registered Representative appointed by Insurer ceases to be a registered representative of Broker/Dealer or ceases to be properly licensed in any state.

Registered Representatives. If I am associated with the Company as a Representative, I will be treated as an independent contractor and not as an employee for federal tax purposes and will be personally responsible for (i) paying all employment-related federal, state and local taxes (including, but not limited to, federal Self-Employment Contribution Act taxes) as well as income taxes imposed on compensation received pursuant to this Agreement, (ii) making all required deposits of such taxes, and (iii) filing all appropriate tax returns and information reports related to such taxes.

Registered Representatives. 28.1. Unless otherwise notified to the Client in writing by CGS-CIMB, the Client acknowledges and agrees that, in respect of the Transactional Services, the Registered Representative shall be deemed to be the Client’s agent whether or not such Registered Representative is deemed to be engaged or employed by the Client in law. 28.2. The Client acknowledges and agrees that there could be cases where a Registered Representative may be required to undertake the provision of services to the Client outside the premises of CGS-CIMB.

Registered Representatives. Attached hereto as Schedule 2.20 is a list of all registered representatives of ▇▇▇▇▇▇ CAPITAL and each state or jurisdiction in which each individual is registered.

Registered Representatives may not acquire Securities as part of an Initial Public Offering ("IPO"). - may not participate in investment clubs. - MAY NOT GIVE OR RECEIVE GIFTS TO OR FROM CLIENTS WHICH EXCEED $100.00 IN VALUE ANNUALLY.