Finra Alert Variable Annuities

We’re Here To Protect, Educate And Inform Investors. Get To ...
Investors need to know FINRA is looking out for them. Alert investors are better investors. annuity for a variable annuity with heavy penalties if he withdrew any of the money Whether they want to learn more about annuities and insurance, or stocks, ... Access Full Source

Incorporating Best Practices Into Your 403(b) Plan - ISCEBS Home
Variable annuities or retail mutual funds that carry higher fees. 3 403(b) has an investor alert on equity-Indexed annuities on its website (www .finra.org).7 FINRA Equity-Indexed Annuities—A Complex Choice. ... View Document

While You Were Complying: SEC And FINRA Disciplinary Actions ...
In connection with the sale of variable annuities.2 The ALJ had found SEC and FINRA Disciplinary Actions Taken Against Chief Compliance Officers the CCO failed to alert the firm’s auditors about the personal email account, ... Retrieve Doc

Proposed Rules
For deferred variable annuities. FINRA 12/21/2007 SR­FINRA­ 2007 ­039 This FYI Alert is provided as a generalinformationalservice to clients and friends of Morgan, Lewis & Bockius LLP. It ... Retrieve Content

In 2007, Baby Financial Abuse Of The Elderly: As More And ...
9 “‘Free Lunch’ Investment Seminars—Avoiding the Heartburn of a Hard Sell,” FINRA Investor Alert variable annuities, Class B or C share mutual funds and exchange-traded funds. The broker represented that the investors could ... Retrieve Doc

Financial Abuse Of The Elderly: Protecting The Vulnerable By ...
9 “‘Free Lunch’ Investment Seminars—Avoiding the Heartburn of a Hard Sell,” FINRA Investor Alert (September The customers were trading liquid assets for variable annuities with a seven year surrender period and annual fees on the advice of FTS brokers.51 ... Doc Viewer

Help Your Employees Achieve Their Retirement Dream
Insurance agents selling variable annuities or variable insurance policies must also be registered with FINRA. FINRA reviews thousands of communications every year Investor Alert, ... Fetch Document

CR020110 1/28/10 3:55 PM Page 1 - Login | Compliance ...
Regulatory Alert 8 Bar Stool 12 FEBRARY 1, 2010 VOL. XVII, NO. 4 FINRA Guides On Deferred Variable Annuities The Financial Industry Regulatory Authority has defined the conditions under which firms will be allowed to hold checks to ... Access Doc

WJM INANCIAL Fee-only Financial Planning & Investment Management
The SEC and The Financial Industry Regulatory Authority (FINRA) have issued an investor alert annuity with the investment component of a variable annuity. Equity Indexed Annuities.doc Author: ... Fetch This Document

To: Our Clients And Friends December 13, 2011 SEC And FINRA ...
SEC and FINRA Issue Guidance on Broker Dealer The Alert identifies practices that the regulators regard as sound and contrasts those with practices that they deem faulty. variable annuities), private placements, ... View Doc

Testimony Of Before The
Know that even products like variable annuities, which create issues when sold to the wrong people, can have legitimate value for some investors. FINRA published an Investor Alert outlining the pros and cons of 401(k) debit cards in May—and ... Access Full Source

ACA-Morgan Lewis BD Session For Philly 9-16-09
– Certain postings (such as those referencing mutual funds, variable annuities) must be filed with FINRA • Difficult to supervise and maintain appropriate books & records SEC/FINRA Joint Investor Alert; FINRA Podcasts – Addresses suitability issues for typical ... Retrieve Here

Table Of Contents
Variable annuities allow you to receive periodic payments for the rest of your life (or the life of your designated annuitant or beneficiary). FINRA Investor Alert: http://www.finra.org/Investors/protectyourself/investoralerts/retirementaccounts/p017365. ... Fetch Full Source

January 10, 2008 Special Committee On Aging United States Senate
These two regulations, along with FINRA’s general variable annuities (Rule 2821), and state unfair trade practices acts, provide state and federal regulators with substantial develop both their Insurer and Producer Bulletin and “Senior Citizens Beware” consumer alert ... Document Viewer

2010 Firm Element Catalog
A professional’s guide to finra rules on variable annuity and variable insurance prospecting..6 a registered reps guide to guide to electronic communications: blogs bulletin boards, etc (new - 20 0 deferred variable annuities ... Fetch Full Source

FOF Letter To Conferees 6 14 10 Final 2
Abusive sales of variable annuities have made NASAA’s annual list of top investment scams several times and were similarly identified as a problem area in a joint SEC-FINRA-NASAA Investor Alert on schemes to defraud senior investors. ... Retrieve Document