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Examination Findings Regarding Broker-Dealer Sales of Variable Insurance Products

Listed in the directory · updated 23 Sep 2022

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About Examination Findings Regarding Broker-Dealer Sales of Variable Insurance Products

Examination Findings Regarding Broker-Dealer Sales of Variable Insurance Products- This joint 2004 SEC-NASD report reviews weak sale practices associated with deferred variable annuities and gives recommendations including taking the customer's age into consideration.

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