SECURITIES AND EXCHANGE COMMISSION
Responsibilities for Deferred Variable Annuities (Approval Order), Securities Exchange Act Release No. 56375 (September 7, regarding broker-dealers’ compliance and supervisory responsibilities for Commission will post all comments on the Commission’s Internet Web site ... Read Here
DOCUMENTING SUITABILITY AND ENFORCING ADEQUATE WRITTEN ...
Distributions of Variable Annuities by Insurance Companies, Broker-Dealer Registration and Regulation Problems Under the Securities Exchange Act of 1934, Exchange Act Rel. No. 8389, Commission, Before the Practicing Law Institute (Jan. 9, 2001). ... Access This Document
Annuities Age Of The SPIA - Fixed annuities And Life ...
8 CALIFORNIA BROKER visit us at www.calbrokermag.com APRIL 2010 Age of the SPIA Single Premium Immediate Annuities Annuities4 that annuities are big commission, high expense products to be avoided. The reality is that an SPIA may pay a one-time commission of perhaps 3%. ... Access 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
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