Are Life Settlements Securities?
By Jim ConnollyA panel discussing the securities regulation of life settlements advised caution for broker-dealers with registered reps who work on these transactions.Panelists offered their views during ...
December 02, 2006
When Are Life Settlements Securities?A broker-dealer should think about execution, supervision and compensation when deciding whether securities laws apply to a life settlement transaction.Cecilia Jordana, senior regulation specialist with ...
December 01, 2006
Life Settlements EssentialsWe wanted to get the answers to our questions straight from the experts in the field, so we assembled a small print panel and asked them all the same questions. Their answers may lead you to a transaction you never thought you'd get involved with.
November 30, 2006
Life Settlements EssentialsWe wanted to get the answers to our questions straight from the experts in the field, so we assembled a small print panel and asked them all the same questions. Their answers may lead you to a transaction you never thought you'd get involved with.
November 17, 2006
NCOIL Weighs In On Suitability And Life SettlementsThe National Conference of Insurance Legislators says annuity suitability protections should apply to all consumers, not simply to those ages 65 and older.Members of NCOIL, ...
November 17, 2006
NCOIL Weighs In On Suitability And Life SettlementsThe National Conference of Insurance Legislators says annuity suitability protections should apply to all consumers, not simply to those ages 65 and older.Members of NCOIL, ...
October 29, 2006
NASD Suggests Best Practices For Life Settlements Of VL PoliciesIn August 2006, the National Association of Securities Dealers issued Notice to Members 06-38 addressing "Member Obligations with Respect to the Sale of Existing Variable ...
October 29, 2006
NASD Suggests Best Practices For Life Settlements Of VL PoliciesIn August 2006, the National Association of Securities Dealers issued Notice to Members 06-38 addressing "Member Obligations with Respect to the Sale of Existing Variable ...