Are you considering exchanging a variable annuity that you currently own with a new one? Replacing one variable annuity with another should involve an analysis and comparison of the complex features of each security. You should exchange your annuity only when it is the smartest move for you.
FINRA announced today the results of its election of two new members to its Board of Governors during the annual meeting of FINRA member firms on Monday. The elected Governors include: Large Firm Governor — J. Bradford Eichler, Chief Operating Officer, Stephens Inc.; Small Firm Governor — Erin Baskett, Chief Executive Officer, Sine Qua Non Capital LLC
The world of money laundering is a fast-paced and ever evolving, which can make it difficult for a financial firm to develop and maintain a strong anti-money laundering program. On this episode, two FINRA anti-money laundering experts discuss current priorities and best practices when it comes to AML regulation.
