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The Committee of Annuity Insurers Comment on Regulatory Notice - 17-20
The Committee of Annuity Insurers Comment on Special Notice - 3/21/17
Committee of Annuity Insurers Comments on Regulatory Notice 09-25
Market Integrity
CAT Best Execution Large Trader Reporting Market Access Vendor Display Rule   Previous: Variable Annuities Up: Market Integrity Next: CAT
Communications and Sales
Communications with the PublicReg BI and Form CRSPrivate PlacementsVariable AnnuitiesPrevious:Crowdfunding Offerings: Broker-Dealer and Funding PortalsUp:Communications and SalesNext:Communications with the Public
Communications and Sales
Reg BI and Form CRS Communications with the Public Private Placements Variable Annuities Previous: Funding Portals and Crowdfunding Offerings Up: Communications and Sales Next: Reg BI and Form CRS
Communications and Sales
Reg BI and Form CRS Communications with the Public Private Placements Variable Annuities Previous: Funding Portals and Crowdfunding Offerings Up: Communications and Sales Next: Reg BI and Form CRS
Communications and Sales
Reg BI and Form CRS Communications with the Public Private Placements Variable Annuities   Previous: Fixed Income Mark-up Disclosure Up: Communications and Sales Next: Reg BI and Form CRS
Market Integrity
Consolidated Audit Trail (CAT) Best Execution Disclosure of Routing Information NEW FOR 2022 Market Access Rule Previous: Variable Annuities Up: Market Integrity Next: Consolidated Audit Trail (CAT)
Notice to Members 05-68
GUIDANCE Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Registration Senior Management Continuing Education Firm Element Executive Summary The Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a guide for firms to use when developing their continuing