Tuesday, April 21, 2009
SEC Green-Lights Annuity Sales Proposals
The Securities and Exchange Commission has approved Financial Industry Regulatory Authority plans to allow firms to sell deferred variable annuities without getting a supervisor’s approval, provided the firm does not recommend the securities. FINRA added this change in response to complaints...
Compliance Reporter: SEC Green-Lights Annuity Sales Proposals (Subscription required)
Compliance Reporter: SEC Green-Lights Annuity Sales Proposals (Subscription required)
Permalink posted by markw @ 4:47 AM 
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