Lisc

November 29, 2008

What is a lisc Ins agent able to disscuss regarding investments ?

investment seminars
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!

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