Jason Monfort

Jason Monfort

Goodwin

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SEC Enforcement Weighs in on Variable Annuity Exchanges for the First Time

After years of relative silence related to variable annuity exchanges on the regulatory front, the U.S. Securities and Exchange Commission announced last week settled charges against RiverSource Distributors, Inc...more

6/2/2022  /  Consent Order , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Investment Company Act of 1940 , Section 11 , Securities and Exchange Commission (SEC) , Securities Exchanges , Underwriting , Variable Annuities
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