INVEStmENt PRoduCtS & SERVICES AdVISoRy - Alston & Bird LLP
SEC Approves FINRA’s Variable Annuities Rule The SEC announced on Monday September 10, 2007, that is has approved a new Financial Industry also be considered attorney advertising under court rules of certain jurisdictions. New rule 2821 applies to sales of deferred variable annuities to all ... Get Document
SUITABILITY IN ANNUITY TRANSACTION MODEL REGULATION
Which are securities under federal law, such as variable annuities, are required to meet FINRA suitability rules; and sales in compliance with FINRA rules would comply with the NAIC suitability regulation. ... Read Here
SECURITIES AND EXCHANGE COMMISSION Pursuant To Section 19(b ...
Rules 15c3-1 and 15c3-3 may, prior to the member’s principal approval of the deferred how members sell or process deferred variable annuities. FINRA refuted, for instance, the misconception that firms generally allowed to handled and carry customer funds ... Return Document
Financial Services Regulatory Highlights - PwC: Audit And ...
Agencies Adopt Final Rules to Implement the Bank “Broker” Provisions of the Gramm- SEC Approves FINRA Rule Governing Sales Practices of Deferred Variable Variable Annuities On September 10, 2007, ... Read Document
Suitability Developments In Annuity Sales In Texas
Approved FINRA’s (formerly the NASD) new rules relating to variable annuity suitability and the supervision of variable annuity sales. for the sale of variable annuities. These rules will be effective August 4, 2008. Second, last ... Retrieve Doc
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