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NASD Disciplines Three Firms, Three Brokers for Alleged Variable Annuity Abuses
National Association of Securities DealersLink to more items from this source
May 26, 2004
Press release. Excerpt: 'Variable annuities are complex products that are difficult for many investors to fully understand,' said Mary L. Schapiro, NASD Vice Chairman and President of Regulatory Policy and Oversight. 'The vast majority of our enforcement actions in this area involve suitability, disclosure and supervision issues, which is why we are proposing tougher rules specifically governing variable annuity sales.'

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