Regulatory Compliance Challenges in Variable Annuities
Explore the challenges of regulatory compliance for variable annuities, highlighting recent FINRA investigations and the importance of supervisory systems in the industry.
FINRA Prioritizes AI Risks and Cyber Fraud in 2026 Regulatory Agenda
FINRA's 2026 agenda highlights generative AI risks and cyber-enabled fraud, urging broker-dealers and RIAs to strengthen compliance and supervision amid evolving technology threats.
Investor Complaint Filed Against Broker Jason Min Over Variable Annuity Disclosure
An investor has filed a complaint against California broker Jason Min, alleging misleading disclosure about surrender charges on variable annuities. The case underscores regulatory importance of suitability and transparent fee disclosure under FINRA rules.