The Broker-Dealer Variable Annuity Purchase and Exchange Blotter serves as a valuable blotter for recording transactional activity specific to a broker-dealer’s variable annuity business.  The customizable Trade Blotter is an instrumental part of a broker-dealer’s books and records and includes twenty-nine separate sections for recording and tracking variable annuity transactions as well as addressing certain regulatory focal points often highlighted during the FINRA broker-dealer examination process. Members also downloaded Broker-Dealer Trade Blotter for Mutual Fund Direct Business and Trade Blotter for Unregistered Offerings.

Version/Update: V.4/02012022

Total Page Count/Format: 1/.xlsx (landscape)

Source/Author(s): Connexien