Variable Annuities Sec

Tax-Sheltered Retirement Plans - Welcome To Utah State University
Product Regulated by states No guarantee Return varies Based on investment options you choose Securities regulated by SEC Annuities b/4 & after Retirement Deferred Investment or and does not need to access their assets for at least five years Variable Annuities An investment ... Fetch Here

Feature And Column *38 - Law Offices Of Steven Riess
Variable annuities as securities, notwithstanding the fact that the annuity sub-accounts consist entirely of stocks and Products, Securities Exchange Commission and National Association of Securities Dealers, at 2 (June 9, 2004), at ... Fetch Doc

Ethics - The American College
Existing investments in variable annuities with new investments in similar variable annuities. This enabled the broker to reap U.S. Securities & Exchange Commission, before the Practicing Law Institute on January 9, 2001. (10) Ibid. (11) Ibid. ... Read Here

We No Longer Offer Certain Of Our variable annuity Products ...
Commission (SEC) and is legally a part of this prospectus. Prudential also files other reports with the SEC. under variable annuities that do not offer a bonus. We impose these higher charges to recoup our costs associated with the granting of bonus ... Fetch Document

Structured Capital Strategies Variable Annuity SM Prospectus
Variable Annuities: • Are Not a Deposit of Any Bank • Are Not FDIC Insured Changes in SEC regulations allow us to send single copies of documents such as Prospectuses, EQ Advisors and AXA Premier VIP Trusts’ Annual and Semi- ... Read Content

VARIABLE ANNUITIES AND MUTUAL. FUNDS
The SEC), there is virtually no opportunity for the mutual fund to profit from loading. If the SEC is successful in its attempts to secure a reduc- tion of the variable annuities, because of the increased commissions, they are not ... Get Doc

Annuities - Welcome To FinancialCounsel.com Investor: Your ...
Variable annuities are typically more expensive than analogous mutual funds and their expenses are not easily understood. Management fees are assessed against the The SEC found that a supervisor failed to supervise a registered representative ... Retrieve Document

Comment Letter On File No. SR-NASD-2004-183
July 19, 2006 Ms. Nancy M. Morris Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: NASD Proposal Relating to Transactions in Deferred Variable Annuities ... Access Content

MetLife Confirms First Quarter 2013 Preferred Stock Dividends
MetLife, Inc. today confirmed its previously announced declaration of the first quarter 2013 dividends of $0.2500000 per share on the company’s floating rate non-cumulative preferred stock, Series A , and $0.4062500 per share on the company’s 6.50% non-cumulative preferred stock, Series B . ... Read News

Annuities - AARP - Health, Travel Deals, Baby Boomers ...
Advisors, variable annuities often cost more than fixed annuities. • Have you researched the financial stability of the If you’re considering buying a variable annuity, read the SEC’s pamphlet, “Variable Annuities—What You should Know,” on their ... Get Document

Nicholas Stuller, CEO of AIQ, the parent of financial website AdviceIQ, appears today on “Money Clip,” a Reuters video program, to take issue with a book author for creating a “dis ... Read News

Bibliography - Life Insurance - Annuities
SEC Probe Takes in Variable Annuities, Sheryl Jean, Duluth News Tribune, December 176, 2003 NAIC Adopts VA Death Benefit Actuarial Guideline, Jim Connolly, National Underwriter online, December 11, 2003 ... Return Document

FIN338--ADD VARIABLE ANNUITY - Texas Department Of Insurance ...
Copy of applicable laws and regulations from domiciliary state with respect to variable annuities; _____ 4. A copy of the Final Prospectus filed with the SEC with regards to Separate Account and the Variable Annuity Contracts, ... Return Doc

An Overview Of Equity-Indexed Annuities - SLCG Securities ...
Also, as a result of the lack of SEC and NASD oversight, investors in equity-indexed annuities cannot determine the costs they are incurring. 5 Premium or bonus credits are a gimmick used to sell both variable annuities and equity-indexed annuities. ... View Doc

Annuities
Many variable annuities today offer guaranteed death benefits or guaranteed living benefits for an additional fee. Exchange Commission (SEC), State Insurance Departments and state securities regulators all have regulatory responsibilities ... Read More

Annuities
That variable annuities should not be sold to individuals wh o are retired or close to 4 S ee Jane B ryant Q uinn, ÒO ne F aulty Investm entÓ N ew sw eek, A ugust 30, 2004 at The SEC found that a supervisor failed to supervise a registered representative ... Get Doc

Prospectus & SEC Registration T11 NCAC 12.0420(1) Suitability Questionnaire T11 NCAC 12.0420(4) Application T11 NCAC 12.0420(3) Riders Group Variable Annuities marketed through DIRECT RESPONSE solicitation shall be subject to the requirements of T11 NCAC 12.0608. TYPE of FILING: GROUP VARIABLE ANNUITY ... Read Here

Variable annuities are currently regulated in the U.S. as insurance products by individual states’ insurance commis-sions, although Congress periodically debates shifting responsibility to the U.S. Securities and Exchange Commis-sion (SEC), which also regulates mutual funds. ... Fetch This Document