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    • BD Fined $100K Over Deferred VA Exchanges

    May 20, 2026 by Melanie Waddell

    The Financial Industry Regulatory Authority has fined a firm $100,000 for failing to supervise recommendations of exchanges of deferred variable annuities, which violated Regulation Best Interest, and for failing to surveil for inappropriate rates of deferred VA exchanges.

    Read at Think Advisor

    Originally Posted at Think Advisor on May 19, 2026 by Melanie Waddell.

    Categories: Industry Articles
    currency