SEC and FINRA publish study of sales to seniors at BDs

With respect to variable annuities, the SEC and FINRA said they found evidence of potentially unsuitable sales to seniors at 34% of the 44 broker-dealers they examined.

Already a subscriber? Log in here

This article is FREE for you...

Create a free account to access this article and get more Retirement Income Journal information sent to you by newsletter.

Or, subscribe now for unlimited access and a free book sent to you!

By submitting your email address you agree for Retirement Income Journal to send you communication by email