The Key Skills, Behaviors and Activities that Drive Success for Bank Platform Reps
PDF and update to Power Point presentation made on October 29, 2009 at the Kehrer-LIMRA Bank Platform Study Group meeting held in Naples Florida.
A brief summary of research on the skills and behaviors of Licensed Platform Bankers.
SECURITIES AND INSURANCE - REGULATORS AND TRADE GROUPS
ARTICLES AND INFORMATION (viewable pdf files)
FINRA (formerly NASD)
2013 Examination Priorities
2012 Examination Priorities
Regulatory Notice 07-43 - Serving Senior Investors
Regulatory Notice 07-53 - Rule 2821 Governing Deferred Variable Annuities
Guidance and Text for Rule 2821 - Deferred Variable Annuity Transactions
FINRA Announces Major Regulatory Sweeps at Seniors Summit
FINRA Launches Enhanced Investor Protection and Education Programs
Insights On Investment Attitudes and Behaviors Comparing Older & Younger Investors
Initiatives to Protect Older Investors
Investor Education Survey Highlighs (2007)
National Survey Reports Widespread Anxiety Among American Investors (2007)
Senior Fraud Risk Survey Highlights (2007)
Senior Investment Literacy and Fraud Susceptibility Key Findings (2006)
Notice to Members 01-23 - Online Suitability
Notice to Members 00-44 - Variable Contracts Responsibilities
Notice to Members 99-45 - Supervisory Responsibilities
Notice to Members 96-86 - Variable Contracts Suitability Requirements
Notice to Members 99-35 - Variable Annuities Responsibilities
Banking Strategies - "What Is Six Sigma?"
Using Six Sigma
Minnesota Attorney General - "Annuities: Beware of Unsuitable Investments for Seniors"
Suitability in Annuity Transactions - Model Regulation
JD Powers Studies Links