Massachusetts Amended and Restated Principal Underwriting Agreement regarding Issuance of variable annuity contracts and life insurance

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Multi-State
Control #:
US-EG-9360
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Word; 
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Description

Underwriting Agreement between Lincoln Life and Annuity Company of New York and Lincoln Financial Advisors Corporation regarding the issuance of public certain variable annuity contracts and variable life insurance
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  • Preview Amended and Restated Principal Underwriting Agreement regarding Issuance of variable annuity contracts and life insurance
  • Preview Amended and Restated Principal Underwriting Agreement regarding Issuance of variable annuity contracts and life insurance
  • Preview Amended and Restated Principal Underwriting Agreement regarding Issuance of variable annuity contracts and life insurance
  • Preview Amended and Restated Principal Underwriting Agreement regarding Issuance of variable annuity contracts and life insurance
  • Preview Amended and Restated Principal Underwriting Agreement regarding Issuance of variable annuity contracts and life insurance
  • Preview Amended and Restated Principal Underwriting Agreement regarding Issuance of variable annuity contracts and life insurance
  • Preview Amended and Restated Principal Underwriting Agreement regarding Issuance of variable annuity contracts and life insurance
  • Preview Amended and Restated Principal Underwriting Agreement regarding Issuance of variable annuity contracts and life insurance
  • Preview Amended and Restated Principal Underwriting Agreement regarding Issuance of variable annuity contracts and life insurance
  • Preview Amended and Restated Principal Underwriting Agreement regarding Issuance of variable annuity contracts and life insurance
  • Preview Amended and Restated Principal Underwriting Agreement regarding Issuance of variable annuity contracts and life insurance

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FAQ

Variable annuities are regulated by state insurance commissions, as well as by the SEC.

National Association of Insurance Commissioners (NAIC) ? The NAIC is the national organization of state insurance com- missioners. Variable annuities are regulated by state insurance commissions, as well as by the SEC. Variable Annuities: What You Should Know - SEC.gov SEC.gov ? investor ? pubs ? sec-gui... SEC.gov ? investor ? pubs ? sec-gui... PDF

FINRA Rule 2330 (Members' Responsibilities Regarding Deferred Variable Annuities) establishes sales practice standards regarding recommended purchases and exchanges of deferred variable annuities, including requiring a reasonable belief that the customer has been informed of the various features of annuities (such as ...

Fixed annuities are not securities and are not regulated by the SEC. Annuities | Investor.gov investor.gov ? investing-basics ? glossary investor.gov ? investing-basics ? glossary

If an insurance agent offers products that are considered securities?such as variable annuity contracts or variable life insurance policies?the agent must also be licensed as a registered financial professional and comply with FINRA rules.

Because the contract owners assume these investment risks, variable annuities are securities and generally must be registered under the Securities Act of 1933. NASD Notice to Members 99-35 - finra finra.org ? default ? files ? NoticeDocument finra.org ? default ? files ? NoticeDocument

Money invested in annuities grows on a tax-deferred basis. While all annuities are regulated by state insurance commissioners, variable annuities and registered indexed-linked annuities (RILAs) are also regulated at the national level by the U.S. Securities and Exchange Commission (SEC) and FINRA. Annuities | FINRA.org finra ? investing ? investment-products finra ? investing ? investment-products

Rule 2330 requires a registered principal to review and determine whether to approve a customer's application for a deferred variable annuity before sending the application to the issuing insurance company.

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Massachusetts Amended and Restated Principal Underwriting Agreement regarding Issuance of variable annuity contracts and life insurance