Suitability In Annuity
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Change of Ownership
www.ameriprise.comannuity contracts and/or insurance policies linked to the indicated brokerage account number. ... reserved for clients without an Ameriprise Advisor and will be restricted for incomplete client or account suitability.
SUITABILITY IN ANNUITY TRANSACTION MODEL …
www.naic.orgSUITABILITY IN ANNUITY TRANSACTIONS MODEL REGULATION . Executive Summary . Commissioners Thomas R. Sullivan (CT) and Adam Hamm (ND) chair and vice chair of the Life Insurance and Annuities (A) Committee, have developed the following Executive Summary to assist in uniform enforcement of the above referenced Model Regulation. This Executive
Content Outline for the S101 Regulatory Element Program
www.finra.orgA.3 Suitability This section addresses suitability requirements including obtaining, monitoring and periodically re-confirming client information in order to determine the suitability of investments prior to making any recommendations. Examples: Client profile information, including age, income, net worth, investment objectives,