Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

A Member of the Law Professor Blogs Network

Friday, April 18, 2008

Finra Seeks Delay on Parts of Suitability Rule for Deferred Variable Annuities

Finra filed a proposed rule change with the SEC to delay the effectiveness of the principal review and supervisory/compliance procedures sections of Rule 2821 (dealing with suitability requirements for sales of deferred variable annuities).  Finra said it plans to file an unspecified substantive change to the rule in the near future.  Proposed Rule Change to Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183.

http://lawprofessors.typepad.com/securities/2008/04/finra-seeks-del.html

Other Regulatory Action | Permalink

TrackBack URL for this entry:

http://www.typepad.com/services/trackback/6a00d8341bfae553ef00e551e8132e8833

Listed below are links to weblogs that reference Finra Seeks Delay on Parts of Suitability Rule for Deferred Variable Annuities:

» Lipitor. from Lipitor.
Lipitor. Can i drink wine while i m on lipitor. Side effects from lipitor. [Read More]

Tracked on Sep 22, 2009 6:07:50 AM

Comments

Post a comment