In its 2023 Annual Report, the SEC Office of the Investor Advocate detailed its Fiscal Year 2023 efforts on investor outreach, responding to investor inquiries, and engaging in substantive research on (i) registered index-linked annuities and (ii) mandatory arbitration clauses in investment advisory agreements.
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SEC Commissioner Mark T. Uyeda argued that the securities laws were not designed with variable insurance products in mind and highlighted ongoing efforts to improve disclosure.
The SEC set a comment deadline of November 28, 2023 for a proposal that would create a "tailored form" for registering the offerings of registered index-linked annuities.
The SEC proposed a "tailored form" for registering the offerings of registered index-linked annuities.
A formerly registered broker-dealer settled FINRA charges for failing to supervise the suitability of sales of variable annuities to customers.