Variable Annuities Archives - Master Compliance

24 02, 2021

FINRA’s Top Priorities for 2021
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FINRA’s Top Priorities for 2021
Broker-Dealer, Communications, Cybersecurity, FINRA, Form CRS, Registered Investment Advisers, Regulation Best Interest, Retail Communications, Rules and Regulations, Variable Annuities

FINRA’s Top Priorities for 2021

By admin|2021-02-24T09:58:16-05:00February 24, 2021|Broker-Dealer, Communications, Cybersecurity, FINRA, Form CRS, Registered Investment Advisers, Regulation Best Interest, Retail Communications, Rules and Regulations, Variable Annuities|

Early in the year, FINRA released their 2021 Report on [...]

27 06, 2016

FINRA Scrutiny of Variable Annuities

By admin|2016-06-27T10:05:36-04:00June 27, 2016|Variable Annuities|

Recently, the Financial Industry Regulatory Authority, Inc. (FINRA) has made [...]