*Letters

California State Legislation Proposing Annuity Products

Published on:
June 29, 2007

SIFMA provides comments to California State Senator Jack Scott on legislation addressing protections to purchasers of annuity products, SB 573 (Scott).  SIFMA opposes the legislation in its current form.  SIFMA questions the need for an additional layer of protections, since broker-dealers and their registered representatives are already subject to disclosure requirements under National Association of Securities Dealers (NASD) rules and previously enacted California laws.

Details

Download

More Content

  • Amicus Briefs
    Oct 05, 2026

    In re The Boeing Company Securities Litigation

  • Letters
    Oct 05, 2026

    Reducing Duplicative Regulation and Expanding Exemptions for Commodity Pool Operators and Commodity Trading Advisors

    SIFMA AMG comments on CFTC proposals to reduce duplicative regulation for certain CPOs and CTAs and account for inflation.
  • Letters
    Sep 30, 2026

    Proposed Rule Change to Amend FINRA Rules 0150, 2165, 4512 and to Adopt FINRA Rule 2166

    SIFMA Comments to SEC in support of the proposed rule changes to improve the utilization of Rules 2165 and 4512, as well as the new Rule 2166 to allow for a temporary delay for suspected fraud.

Get the latest trends, stats, and research on financial markets and securities.