Regulation & law · 13/09/2007Updated: 10/17/2026 · 1 min read

SEC Grants Conditional Exemption to Broker-Dealers for Prompt Transmission of Customer Checks for Deferred Variable Annuity Contracts

Summary

The Securities and Exchange Commission (SEC) has granted a conditional exemption to broker-dealers, allowing them to temporarily waive certain requirements under the Securities Exchange Act of 1934 to expedite the transmission of customer checks for the purchase of deferred variable annuity contracts.

Original source language: Federal Register — All DocumentsOpen original release →

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