Annuities
Annuity news and analysis, including coverage of annuity market regulatory, compliance and legislative issues.
Annuity Facts: How Suitability Has Changed the FIA Market
By Kim O'BrienIn Jan. 2009, the SEC tried to pass Rule 151A, a regulation that would classify indexed annuities as securities. In July 2009, the U.S. Court of Appeals for the D.C. Circuit blocked the SEC from implementing 151A.
August 01, 2010
Ethics update: Time to take an oathWould you sell an 85-year-old widow an annuity with a long surrender period?
August 01, 2010
How did your relationship with your financial advisor come about?It was a referral. A guy I work with invited me to tag along with him to an event his advisor was throwing.
August 01, 2010
What kind of marketing tends to best attract your attention?I don't really like any marketing that I can think of.
August 01, 2010
Ethics update: Don't take shortcuts to credibilityFINRA is once again warning advisors with securities licenses that using ghostwritten communication materials may violate NASD Rule 2210.
August 01, 2010
How to end prospecting and referral challengesRecently, I had the opportunity to hear prospecting and referral guru Dan Allison speak at MDRT in Vancouver.
August 01, 2010
The Finalists 2010 Advisor of the YearEvery year the selection process for the Advisor of the Year has interesting twists and turns and the finalists, while holding onto their unique qualities, take on a common theme as well.
August 01, 2010
SEC 151 faces a double-whammy in WashingtonCourt order, plus likely passage of financial reform bill, expected to quash annuities regulation