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Suitability and supervision of annuity sales and practices is a key
priority of the NAIC and its Life Insurance and Annuities (A) Committee.
This online course is a compilation of webinars presented in late
2011 and early 2012 and a panel recording from the Annuity Suitability
Symposium held in conjunction with the 2012 NAIC Spring National Meeting
in New Orleans. The course includes a pre-quiz, lectures, case studies,
and a post-quiz.
Unit 4: Coordination-Sharing Information and Resources
unit includes an Annuity Regulation Panel made up of insurance
commissioners, state securities regulators, and senior representatives
from the Financial Industry Regulatory Authority (FINRA). They provide a
comprehensive picture of the regulatory treatment of annuities products
including useful resources.
Introduction by Kevin McCarty, Commissioner, Florida Office of Insurance Regulation, NAIC President
• Julie Mix McPeak, Commissioner, Tennessee Department of Commerce and Insurance (Moderator)
• Joseph Borg, Director, Alabama Securities Commission, NASAA Past President
• Andrew Favret, Associate Vice President and Regional Chief Counsel, New Orleans District Office, FINRA
• Jim Mumford, First Deputy Commissioner and Securities Commissioner, Iowa Insurance Division
• Bruce Ramge, Director, Nebraska Department of Insurance
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