Series 66: 3.6.4.12. Federal Regulations Regarding Annuities

Taken from our Series 66 Online Guide

3.6.4.12. Federal Regulations Regarding Annuities

Under the Securities Act of 1933, variable annuities are considered to be securities and, therefore, need to be registered with the SEC and sold with a prospectus. This is because they are always considered to be a new issue.

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