What is a lisc Ins agent able to disscuss regarding investments ?
fred6636 asked:
This for comparison sake of the pros and consof different investments compared to say indexed or fixed annuities.
In the office or in a seminar… and be in compliance with NASD rules-tho they do not regulate ins agents not NASD lisc?
Can you disscuss generalities ie assett allocation and risk without giving specific investment advice on say funds etc? Fees-can you mention ??
Again: compliance for agents with state Ins lic only without NASD lisc…the dos and donts to stay kosher!
This for comparison sake of the pros and consof different investments compared to say indexed or fixed annuities.
In the office or in a seminar… and be in compliance with NASD rules-tho they do not regulate ins agents not NASD lisc?
Can you disscuss generalities ie assett allocation and risk without giving specific investment advice on say funds etc? Fees-can you mention ??
Again: compliance for agents with state Ins lic only without NASD lisc…the dos and donts to stay kosher!