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LAW COMMENTARY

Improper Practices

  • Suitability
  • Excessive Trading or Churning
  • Diversification/Asset Allocation
  • Margin Trading
  • Mutual Fund/Unit Investment Trust Switching
  • Duty to Disclose Material Facts
  • Discretionary Authority
  • Living Trust Schemes

Products

  • Auction Rate Securities
  • Equity Index Annuities
  • Variable Annuities
  • Options
  • Promissory Notes
  • Subprime Securities