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July 27, 2009
Print Version of All Articles in July 27 ICI
Print out this file for text of articles in the current issue....
Best Practice Tip: Rely on Others in Times of Need
You’ll get through tough times in better shape if you don’t try to do it along and, instead, rely on the kindness of others. It’s advice two states will be relying on in the case of a future catastrophe – and advice that could pay off for insurers as well....
Federal Court Tells SEC to Reconsider Indexed Annuity Rule
A federal appeals court said last week that the SEC's consideration of the effect of Rule 151A on efficiency, competition and capital formation was arbitrary and capricious....
Agent Licensing, Other Errors Lead to Connecticut Fines for Five Safeco Companies
Connecticut has fined five Safeco subsidiaries $434,000 for improper cancellations, improper rating and using unlicensed agents and adjusters....
FINRA Assesses $1.65 Million in Fines for Lax Supervision of Variable Annuities, Unit Investment Trusts
FINRA has fined five bank broker-dealers a collective $1.65 million for deficient supervision and procedures related to variable annuity and unit investment trust transactions....
Rules, Regs & Bulletins July 27, 2009
A summary of recent regulatory developments and legislation....