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Reliance Standard Life Selects iPipeline AFFIRM for Annuities to Automate Advisor and Agent Selling Process

Order-Entry Solution Provides Customized Workflows and Reviews to Support FINRA, SEC and State Compliance iPipeline® – a leading provider of cloud-based software solutions ...
Kim O'Brien

LICENSED TO SELL… AND STAY COMPLIANT! PART II

MESSAGE FROM THE PRESIDENT In the last issue, we mentioned there were a number of significant developments in state actions against sellers of annuities. Those state actions ...
Kim O'Brien

LICENSED TO SELL… AND STAY COMPLIANT!

MESSAGE FROM THE PRESIDENT There have been a number of significant developments in state actions against sellers of annuities that provide great insight into what regulators ...
You can Find Success

TO THE INDEPENDENT INSURANCE PRODUCER:

You CAN Find Success in the New World of Compliance and Suitability I want to take a few minutes here to talk directly to the independent insurance professional. I’ll ...
compliance and suitability

Embrace Compliance and Suitability with Modern Technology

In 1934 under the Franklin D. Roosevelt administration, the Securities and Exchange Commission (SEC) was established to enforce federal securities laws and regulate the ...
NAFA

NAFA Forum Highlights Critical Issues

Annuity Leaders Join Prominent Regulators and Elected Officials to Debate Proposed Annuity Regulation WASHINGTON D. C. — As part of its promotion of June as National ...
5 questions on compliance copy

5 Questions on Compliance for Cailie Currin

What can you tell our readers about the SEC and FINRA’s warnings about helping clients with IRA rollovers? To lay the foundation for the answer to this question, it is ...
aspen

DESTINATION: ASPEN

Aspen has a way of exciting the senses, opening the mind and exceeding expectations, especially during the fall season. Whether it’s to pursue your passion for adventure, ...
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Annuity Industry Leaders Meet in D.C. to Address Compliance, Regulatory and Government Relations Issues

This year’s NAFA Annuity Leadership Forum was held June 12 – 14 at the Westin Arlington Gateway, gathering nearly 50 leading insurance carriers and independent marketing ...
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Avoiding Dangerous Waters: Follow Best Practices When Using Professional Designations

Excerpts from the NAFA Principles for Use of Professional Designations, a principle paper published by NAFA’s Education Committee in 2013. In recent years, the number ...