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compliance

    ag 49-a and section 7702 blog header
    Product R + D

    What to Know: Regulatory Changes from AG 49-A & Section 7702

    by TJ Whalen April 1, 2021
    written by TJ Whalen

    Updated September 7, 2023, at 11:31 AM

    Of course, the first part of the title is the famous first line to one of the greatest stories ever written, A Tale of Two Cities by Charles Dickens.  That opening line fittingly describes the landscape of our industry right now on two noteworthy levels.

    The life insurance industry has gone through the best of times and the worst of times during the COVID-19 pandemic. Life insurance applications are up significantly due to COVID, but underwriting and processing these apps have been slower and more challenging than ever.

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    April 1, 2021
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  • Business Development

    Answers to Your Reg BI Questions [Infographic]

    by FIG Marketing July 31, 2020
    by FIG Marketing July 31, 2020

    Updated September 1, 2023, at 9:25 AM The Regulation Best Interest, or Reg BI, effective date was June 30, 2020. As financial professionals and advisors continue to dip their toes in the …

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  • Business Development

    FINRA Reg BI Checklist: 20 Compliance Requirements [Infographic]

    by Mark Stewart July 23, 2020
    by Mark Stewart July 23, 2020

    The FINRA Reg BI checklist is…encompassing to say the least. Taken effect on June 30, 2020, the new FINRA Reg BI standard – along with Form CRS – outline what broker-dealers (BDs) …

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