Coping with SEC Rule 151A

Learn how SEC Rule 151A impacts equity-indexed annuities, how to compute their returns, and more

Includes: Certificate of Completion

Duration: 2 Hour(s) | Language: English

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About this Course

As published in the Federal Register on January 16, 2009, the Securities and Exchange Commission has formalized its position on what exactly an equity-indexed annuity is. The SEC has stated:'We are adopting new Rule 151A under the Securities Act of 1933 in order to clarify the status under the federal securities laws of indexed annuities, under which payments to the purchaser are dependent on the performance of a securities index. Section 3(a)(8) of the Securities Act provides an exemption under the Securities Act for certain ''annuity contracts,'' ''optional annuity contracts,'' and other insurance contracts. The new rule prospectively defines certain indexed annuities as not being ''annuity contracts'' or ''optional annuity contracts'' under this exemption if the amounts payable by the insurer under the contract are more likely than not to exceed the amounts guaranteed under the contract.'Rule 151A shall be effective January 12, 2011.

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