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11/7/2007 - Understanding the New Annuities Rule

Last post 11-07-2007 3:04 PM by Adan Araujo. 4 replies.
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  • 10-16-2007 1:06 PM

    11/7/2007 - Understanding the New Annuities Rule

    Join the presenter, Adán Araujo and other participants following Wednesday's Live Virtual Seminar (11/7,3:00 PM ET) as they share thoughts about the presentation.

    To participate in the conversation, you must first register and log-in to this site. The handouts for this session are available starting 24 hours prior to the session in the downloads area, under today's session date and title.

  • 11-07-2007 1:12 PM In reply to

    Re: 11/7/2007 - Understanding the New Annuities Rule

    I am here.... why can't I see the post seminar discussion?

     

  • 11-07-2007 1:26 PM In reply to

    Re: 11/7/2007 - Understanding the New Annuities Rule

    Mr. McClure, you're the first to post.

  • 11-07-2007 1:28 PM In reply to

    Re: 11/7/2007 - Understanding the New Annuities Rule

    We did have one question remaining for Mr. Araujo, from James Simos, who asks: 

    How does worm technology work on principal review?

  • 11-07-2007 3:04 PM In reply to

    RE: 11/7/2007 - Understanding the New Annuities Rule

    FINRA specifically states that technological tools could be used to perform the principal review, but the principal is responsible to ensure that the technological tool works properly. It must be tested to ensure it works as it is supposed to.

     

    Adán D. Araujo

    Vice President

    Chief Compliance Officer

    First Command Financial Planning

    (817) 569-2225


    From: Kate Barnes [mailto:bounce-276474@fpanet.org]
    Sent: Wednesday, November 07, 2007 2:31 PM
    To: Araujo, Adan
    Subject: Re: [FPA_VLC_PostSession] 11/7/2007 - Understanding the New Annuities Rule

     

    We did have one question remaining for Mr. Araujo, from James Simos, who asks: 

    How does worm technology work on principal review?



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