Puretz, Jeffrey S.; Zacharski, Anthony H.; Rosenblat, Alan - In: Journal of Investment Compliance 9 (2008) 2, pp. 60-64
Purpose – The purpose of this paper is to summarize and discuss FINRA Rule 2821, which covers broker‐dealer sales practices with respect to purchases and exchanges of deferred variable annuities. Design/methodology/approach – The paper describes the transactions to which the rule applies;...
