Data Matters

SEPTEMBER 3, 2020

Annuity Suitability Working Group Drafting FAQ Document to Facilitate Uniformity in State Adoption of Revised Suitability in Annuity Transactions Model Regulation. A draft of the FAQ document was exposed for a 30-day comment period to seek feedback regarding whether additional topics should be included in the document.

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Data Matters

SEPTEMBER 4, 2019

Securities and Exchange Commission on June 5, 2019, broker-dealers and associated persons are required to act in the best interest of a retail customer when recommending a securities transaction or investment strategy involving securities to a retail customer.

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Data Matters

SEPTEMBER 20, 2021

NAIC Adopts FAQ Document to Facilitate Uniformity in State Adoption of Revised Suitability in Annuity Transactions Model Regulation . The NAIC adopted a frequently asked question (FAQ) document to address issues that are likely to arise as states adopt the 2020 revisions to the Suitability in Annuity Transactions Model Regulation (SAT).

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