Markham Leventhal

Markham Leventhal

Carlton Fields

Contact
View Bio
RSS

Latest Posts › Broker-Dealer

Share:

Expect Focus - Volume II, May 2023

For broker-dealers distributing and selling variable annuities, examinations will test for compliance with Reg BI and FINRA Rule 2330 because both standards apply to variable annuity sales. Firms distributing and selling...more

5/30/2023  /  Broker-Dealer , Financial Industry Regulatory Authority (FINRA) , Insurance Industry , Investors , Life Insurance , Private Funds , Securities and Exchange Commission (SEC)
1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide