Financial Services Industry
Industry: Email Alert RSS FeedACLI: uniform definition of B/D branch office is needed. (American Council of Life Insurers, broker/dealer)
National Underwriter Life & Health-Financial Services Edition, February, 1993 by Brostoff, Steven
The American Council of Life Insurance (ACLI), in a letter to the North American Securities Administrators Assn, asked state securities regulators to adopt a definition of branch offices similar to that of the National Association of Securities Dealers' (NASD). The ACLI noted that conflicting state and federal regulations create major financial problems for insurance brokers and dealers and life insurance companies. The NASD defines branch offices relative to function, while the state of Florida bases its definition on the number of persons in any office and several other states have other definitions.
WASHINGTON--State modifications in the definition of broker/dealer branch offices that conflict with the NASD definition impose significant, expensive burdens on life...
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