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Checklist for Implementing SEC Rule 498A

SEC rules 498A and 30e-3 provides firms the opportunity to streamline their communications model.


The combination of SEC rules 498A and 30e-3 provides firms with the opportunity to streamline and enhance their end-investor communications model. However, compliance will require a plan. This checklist provides variable life and variable annuity providers a checklist for implementing the new rules.

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