Guidance Report / Study2021 Report on FINRA’s Examination and Risk Monitoring ProgramFebruary 01, 2021 NoticeRegulatory Notice 10-05January 21, 2010 Report / StudyJoint SEC/NASD Report on Examination Findings Regarding Broker-Dealer Sales of Variable Insurance ProductsJune 09, 2004 Interpretive LetterInterpretive Letter to Marilyn J. Sponzo, Jorden BurtFebruary 03, 2003
