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July 30, 2007
 
BREAKING NEWS: New Broker-Dealer Regulator Begins Operations

The Financial Industry Regulatory Authority is now in business. The consolidation of NASD and the member regulation, enforcement and arbitration operations of the New York Stock Exchange became effective July 30....

 
Best Practice: Variable Annuity Suitability
If you want to do a complete job of verifying the suitability of variable products, don’t miss an opportunity to check and double-check the information about the sale....
 
FTC Report Validates Insurers’ Use of Credit, But Probably Won’t Change Critics’ Minds
Let’s not get too excited about the Federal Trade Commission’s report about credit scores. The industry is applauding its findings that scores are effective predictors of claims, but others – including an FTC commissioner – have misgivings about its conclusions....
 
SEC, NASD Officials Suggest Insurers Pay More Attention to BD Compliance Issues
Federal regulators are likely to focus on exception reports, sales to seniors, replacements and variable life products in their oversight of insurer-affiliated broker-dealers....
 
Iowa Regulators Looking Into LTC Sales, Claims Practices
The Iowa Attorney General’s Office isn’t the only state agency taking an interest in long-term care insurance these days. The insurance department is also working with the attorney general on the long-term care insurance question....
 
Hartford Will Pay $115 Million to Three States For Market Timing, Contingent Commissions
Hartford Financial Services has written a big check to settle a three-state investigation into illegal and fraudulent business practices....
 
SEC Removes Terrorism List From Web Site
The SEC has responded to overwhelming criticism and taken down its list of companies with business interests in countries that have been designated State Sponsors of Terrorism....
 
Insurers, Attorneys In Referendum Fight Over Washington’s Treble Damages Claims Law
Insurance companies and trial attorneys are drawing their respective lines in the sand and preparing to do battle over a law in Washington state that would permit an award of treble damages and court costs for any “unreasonable” denial of coverage or benefits....
 
Job Opening: Compliance Officer

5 Star Life Insurance Company is looking for a new compliance officer....

 
Committee Vote to Add Wind To Flood Program ‘Not the Right Solution,’ Says Trade Group
The House Financial Services Committee has voted to add wind coverage to  the National Flood Insurance Program, drawing a response that the decision is a big mistake....
 
Responses to ICI’s SIU Salary Survey Indicate Fraud Fighters Aren’t Satisfied with Pay
Time is running out for SIU professionals to complete the 2007 SIU Salary Survey....
 
Rules, Regs & Bulletins July 30, 2007

A summary of recent reculatory developments and legislation....