Regulatory Notice 16-12

FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products

Executive Summary

This Notice addresses the responsibilities of firms to supervise the sale of pension income stream products by their associated persons.

Questions regarding this Notice should be directed to:

  • James S. Wrona, Vice President and Associate General Counsel, Office of General Counsel (OGC), at (202) 728-8270;
  • Afshin Atabaki, Associate General Counsel, OGC, at (202) 728-8902; and
  • Jeanette Wingler, Assistant General Counsel, OGC, at (202) 728-8013.