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SEC Form N-4 Registration Statement Due Diligence Grid


Book Publication Date: Jun 2018
Description: Sample compliance grid developed by variable product issuers to provide preparers of registration statements with a means of verifying that all required disclosure is actually present in a registration statement
Type: Other Document Templates, Checklists
PLI Item #: 41533
Practice Area: Corporate & Securities, Insurance
Keywords: "Form N-4 Registration Statement Due Diligence Grid"; "disclosure requirements"; "party responsible for accuracy of disclosure"; registration numbers; prospectus; "statement of nature of prospectuses"; contract fee; portfolio companies; annuity period; death benefits; redemptions; annuity payments; principal underwriters

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