Penn Mutual | Regulatory & Compliance

Stay up-to-date on the latest information about complying with recent state and federal regulations.

Compliance Education Platform

Satisfy all your compliance needs in one place.

Regulatory

Clarify today’s confusing best interest and fiduciary environment.

Washington Update

Access resources for understanding the strategic implications of government actions.

The neighborhood watch for financial services enables companies to defend against account takeover (ATO) schemes with easy, secure, real-time access to incident and threat indicator data with real-time email alerts.

Best Interest Training from LIMRA

On-Demand Webinars

Looking Ahead to Best Interest Standards for Life and Annuity Sales

1/15/2019, 12 - 1 p.m. EST

This webinar, the first of two parts, will discuss the new “best interest" standard and related supervision requirements for insurers and intermediaries operating in New York under Amendment No. 1 to New York Insurance Regulation 187.

Looking Ahead to Best Interest Standards for Life and Annuity Sales - Part II

2/20/2019, 12 - 1 p.m. EST

This webinar, the second of two parts, will expand the discussion of enhanced standards of care and related supervision requirements emerging at the state and federal levels.

Regulatory and Legislative Trends Impacting the U.S. Retirement System

4/16/2019, 12 - 1 p.m.

Recent guidance from the Department of Labor and Internal Revenue Service as well as potential legislation have the potential to profoundly change the retirement system in the coming years.

SEC's Regulation Best Interest and RIA Interpretation: Impact on Plans, Participants and Rollovers

6/6/2019, 12 - 1 p.m. EDT

The SEC's proposed Best Interest Regulation applies to recommendations to participants, including rollovers, but apparently does not apply to advice to plans.

Recognizing and Helping to Prevent Financial Exploitation of Seniors

9/5/2018, 12 - 12:45 p.m.

As the U.S. population ages, the financial abuse of seniors and vulnerable adults has become an increasingly important consumer and compliance issue.

Evolving Standards of Conduct - Legal and Operational Challenges

5/24/2018, 12 - 1 p.m.

Join us on a report examining the potential legal and operational challenges of meeting new standards of conduct for financial intermediaries.

Legislative and Regulatory Trends in the Insurance Industry

4/25/2018, 12 - 1 p.m.

Join us for a report from leading experts on major US insurance regulatory and transactional topics for 2018 that will also bear on the direction of the industry.

Regulatory & Compliance Coming Events

2026 Compliance, Legal, and Fraud Prevention Conference

7/13/2026 - 7/15/2026

The Compliance, Legal, and Fraud Prevention Conference 2026 brings together more than 150 senior level executives providing focused education and CLE credits relevant to compliance, legal, fraud prevention and SIU executives in the life insurance industry.

2026 Advanced Sales Forum

7/27/2026 - 7/29/2026

Agenda now online! Designed by top advanced sales leaders, the Forum brings together expert insights and real-world strategies for today’s financial services challenges—from emerging technology to doing more with less. Attendees gain practical takeaways and peer-driven perspectives they can put to work immediately.

Agenda Register

2026 LIMRA Annual Conference

9/27/2026 - 9/29/2026

AGENDA COMING SOON! Step into the future of the industry at the 2026 LIMRA Annual Conference, September 27–29, 2026, at the world-class Gaylord Texan Resort & Convention Center — where bold ideas, powerful connections, and forward-thinking leadership come together. The highly anticipated conference agenda, featuring timely sessions, expert speakers, and actionable strategies shaping the future of the industry, will be unveiled soon, making now the perfect time to secure your place at this premier event. Registration is now open — reserve your spot today!

Featured Publications

SRI® Review

Gain actionable insights you won’t find anywhere else. LIMRA experts and industry leaders provide fresh perspectives on the retirement market, including consumers, products, distribution, technology, and domestic global trends.

Industry news2use

This weekly newsletter showcases important global financial services industry updates and links to related LIMRA and LOMA resources. Please subscribe to receive Industry news2use in your inbox on Tuesdays.

Your Contacts

Faye W. Williamson

Member Relations Director

Work Phone: (860) 285-7826

fwilliamson@limra.com

Judy Schott

AVP Member Solutions

Work Phone: (770) 984-3751

SchottJ@LOMA.org

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