Finra Warning Indexed Annuities

Host & Speaker
Check out securities brokers at FINRA’s website y annuities, real estate investment trusts, equity indexed annuities, General Warning Signs for Investors. yPromise of excessive rates of returns ... Retrieve Here

STATE OF CALIFORNIA Dave Jones, Insurance Commissioner ...
The Working Group should review FINRA’s Investor Alert “Equity Indexed Annuities- I think the concept of fixed indexed annuities would make more sense to laypeople if, at there should be a warning regarding surrender charges. ... Access Doc

An Overview Of Equity-Indexed Annuities - SLCG Securities ...
The NASD updated a previous Investor Alert last summer warning potential investors that equity-indexed annuities are complex.4 Combined with the Notice to Members 05-50, the indexed annuities.10 Our software allows us to evaluate various equity-indexed annuities and to ... Read Here

NASAA Insight - North American Securities Administrators ...
Indexed annuities, free lunch seminars, and misleading designations. we serve as an early warning system. As a result, state securities regulators were the first to identify (FINRA) would enhance investor ... Read Content

OATS REPORTING APPLICABLE TO OTC EQUITIES (12/12/06)
OUR TAKE: We interpret this action as FINRA warning large firms that it will have a high burden to prove that its manual or proprietary AML system is adequate. The big issue was whether equity indexed annuities are “securities.” ... Fetch Doc

BENEFIT ADMINISTRATORS AND CONSULTANTS E & O APPLICATION
Equity Indexed Annuities Unregistered Securities RIA Fees Other ( Describe) to FINRA or any other Securities regulatory body? If yes, explain on a separate sheet. Hawaii Warning For your protection, ... Retrieve Here

Regulation Of Mutual Fund Performance Advertising:
The SEC Should at Least Require a Much Stronger Warning in Performance Advertisements. The portfolios of equity funds are either indexed or actively managed. Retirement assets are also in annuities, government pension plans, ... Read Full Source

FINRA is soliciting comments from member firms and other interested parties on two proposals relating to OTC trade reporting clarifying the status under the federal securities laws of indexed annuities. Release Nos. 33-8996 FINRA is requesting comment on proposals relating to FINRA ... Return Document

Benefit Administrators Application 01-12-2012
Equity Indexed Annuities . Unregistered Securities RIA Fees . Other ( Describe) to FINRA or any other Securities regulatory body? If yes, explain on a separate sheet. Yes No . Tennessee Fraud Warning . ... Read Content

Form NMA Resources
NTM 05-50 Member Responsibilities for Supervising Sales of Unregistered Equity-Indexed Annuities. SEC Rule 17a-11 - Early Warning Notification Requirement. NASD Rule 1014(a)(7) - Adequacy of Capital for the Proposed Business. ... Read Full Source

News Bulletin September 3, 2008 SEC Regulation Of Indexed ...
SEC Regulation of Indexed Annuities? On June 26, 2008, the Securities and Exchange Commission (the “SEC”) published proposed Rules 151A and 12h- (“FINRA”) have issued consumer alerts to inform senior citizens of ... Read More

South Carolina Regulations
The maximum interest rate is the maximum rate permitted by law in the valuation of single premium immediate annuities issued on the same date as the claim incurred date, reduced by one hundred basis points. C. Mortality. 1. ... Return Doc

Finra state of georgia dept. of the secretary of state, state of north carolina denial of registration by the state of alabama 6/24/94 state of alabama dept of insurance nasd district business conduct committee for district no. 5 ohio division of securities ... Doc Retrieval

Variable Product Regulation And Litigation
– FINRA Rule 2330 (Variable Annuities) – NASD Rule 3010 (Supervision) • These warning were sufficient for inquiry notice seller of indexed annuities marketed as appropriate for seniors ... Access This Document

Annuities Understanding
High Street Securities, Inc. is a FINRA-registered broker/dealer (Member SIPC) and Advisory services offered through Vision Advisors Financial Services, LLC. Equity-indexed annuities: In contrast, equity-indexed annuities (EIA) ... Return Doc

OATS REPORTING APPLICABLE TO OTC EQUITIES (12/12/06)
FINRA CEO Mary Schapiro called for sweeping changes in the financial equity indexed annuities, and direct participation programs FINRA usually follows up with a sweep and an action. Time and again, firms fail to heed the warning shot. http://www.finra.org/PressRoom/NewsReleases ... Fetch This Document