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News You Can Use

FINRA and SEC Announce 2017 Exam Priorities


OCC Updates Retirement Plan Handbook


J.D. Power and Associates Releases 2016 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 2016 Retail Banking Satisfaction Study


J.D. Power and Associates Releases 2016 Financial Advisor Satisfaction Study


FDIC Issues Consumer Alert on Market Linked CDs


Sales Quality Group Launches Online Branch Audit Services


FINRA Survey Identifies Consumer Financial IQ By State

The FINRA Investor Education Foundation recently completed a massive survey of 28,000+ consumers nationwide to help identify Consumer Financial IQ by State. More...

 

 

 

Useful Resources

Kehrer-Bielan Platform Study Group - 2011 Update (Power Point Presentation)

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.  

Licensed Platform Bankers Skills and Program Maturity Analysis (PDF)

A brief summary of research on the skills and behaviors of Licensed Platform Bankers.

BANKING REGULATORS

Office of the Comptroller of the Currency (OCC)

Office of Thrift Supervision (OTS)

National Credit Union Administration (NCUA)

Federal Deposit Insurance Corporation (FDIC)

Federal Financial Insitutions Examination Council (FFIEC)

Federal Reserve

 

 

SECURITIES AND INSURANCE - REGULATORS AND TRADE GROUPS

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)

LIMRA

 

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
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

OCC
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

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

OTHER ARTICLES
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