Compliance Manual
Compliance for Annuity Rep Manual
FINRA (formerly NASD) and securities regulators are zeroing in on insurance-only producers who offer free-lunch seminars, use certain professional designations, move funds from securities into annuities or advertise to seniors. If you do any of these, your career could be in danger unless you make changes.

BHC has published a “Compliance for Annuity Reps” to guide you through this minefield. It lists the do and don’t and the best solutions. If you are not securities licensed or not affiliated with an RIA, your practice is under fire and the consequences can be career changing. Don’t spend another day without reading the Compliance for Annuity Reps. You could be saving your career.
 



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