GUIDANCE
Life Settlements
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal and Compliance
Retail
Senior Management
Variable Life Settlements
Variable Insurance Policies
Suitability
Best ExecutionRule 3010
Executive Summary
Sales of existing life insurance policies to third parties—often
referred to as "life settlements"—have grown exponentially in
recent years, and that trend
• Branch Offices—Failure to Register
• Cheating, Using an Impostor, or Possessing Unauthorized Materials in Qualifications Examinations or in the Regulatory Element of Continuing Education
• Continuing Education (Firm Element)—Failure to Comply With Rule Requirements
• Continuing Education (Regulatory Element)—Failure to Comply With Rule Requirements
• Disqualified
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
This Notice to Members addresses
Comment Period Expires: July 15, 1997
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Mutual Fund
Operations
Options
Research
Systems
Trading
In the following document,
Monthly Disciplinary Actions October 2017
Frequently Asked Questions (FAQs) about RSL designations, including, among others, reporting and compliance, conditions and recordkeeping.
March 1, 2010
Dear Executive Representative:
FINRA is issuing its 2010 annual examination priorities letter to highlight new and existing areas of significance to FINRA's examination program for the year. This year's annual letter goes beyond the focus of FINRA's Market Regulation and Member Regulation Departments to also include topics that are of heightened importance to the
While Generative AI and large language models present numerous opportunities to create business efficiencies and offer many potential benefits to firms, regulators and investors, they also introduce unique risks. On this episode, we hear from three experts at FINRA who are closely looking at these technologies and following developments in this space.
