Useful Resources
Kehrer-LIMRA Platform Study Group (Power Point Presentation)
The Key Skills, Behaviors and Activities that Drive Success for Bank Platform Reps
Presented 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
Related Sites
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)
2010 Examination Priorities
2009 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
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
JD Powers Studies Links