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News You Can Use

FINRA and SEC Announce 2018 Exam Priorities

J.D. Power and Associates Releases 2017 U.S. Small Business Banking Satisfaction Study

J.D. Power and Associates Releases 2017 Full Service Investor Satisfaction Study

J.D. Power and Associates Releases 2017 Retail Banking Satisfaction Study

J.D. Power and Associates Releases 2017 Financial Advisor Satisfaction Study

Sales Quality Group Launches Online Branch Audit Services

OCC Updates Retirement Plan Handbook




Useful Resources


Office of the Comptroller of the Currency (OCC)

Consumer Financial Protection Bureau

National Credit Union Administration (NCUA)

Federal Deposit Insurance Corporation (FDIC)

Federal Financial Insitutions Examination Council (FFIEC)

Federal Reserve




Financial Industry Regulatory Authority (FINRA), formerly NASD

U.S. Securities & Exchange Commission (SEC)

North American Securities Administrators Association (NASAA)

Insurance Information Institute (III)

National Association of Insurance Commissions (NAIC)

Insured Retirement Institute (IRI)



ARTICLES AND INFORMATION (viewable pdf files)

FINRA (formerly NASD)
2017 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

SEC, NASAA & FINRA Announce New Steps to Help Protect Senior Investors (2008)
"Free Lunch" Investment Seminar Examinations Uncover Widespread Problems for Older Investors
SEC 2017 Exam Priorities

Director's Handbook Excerpt - October 2003
Insurance Comptroller's Handbook - June 2002
Insurance Handbook Excerpt (June 2002)
Bulletin 94-13 - Nondeposit Investment Sales Examination Procedures

Insurance Handbook for Reporters - What Journalists Need to Know About Insurance

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