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Athene USA | 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.

FraudShare

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.

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

2025 Advanced Sales Forum

8/11/2025 - 8/13/2025

Created by advanced sales professionals, the Forum provides advice from industry leaders with unique expertise in this segment of the financial services market. Whether you are struggling to do more with less or experiencing the challenges of organizational change, attending the Forum will give you unparalleled insights from peers and implementable ideas from experts.

Register

2025 LIMRA Annual Conference

9/14/2025 - 9/16/2025

The LIMRA Annual Conference is one of the largest gatherings of senior executives representing diverse sectors of the financial services industry.

Register

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 semi-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 and Thursdays.

Your Contacts

John B. Sullivan, M.B.A.
Client Relationship Director, LIMRA and LOMA

John B. Sullivan, M.B.A.

(860) 285-7758

jsullivan@limra.com

Client Relationship Director, LIMRA and LOMA

Sullivan is a member of the Individual Annuity research team at LIMRA and LOMA. He is responsible for two Annuity related member benefit services - the Annuity Product Materials and Annuity Interest Rate services. He also works on monthly, quarterly and annual annuity benchmarking surveys and assists with LIMRA and LOMA's Annuity Committee and Annuity Competitive Intelligence Study Group.

Prior to joining LIMRA and LOMA, Sullivan worked for Phoenix Life Insurance Company in their Product Development Department. He also gained years of industry experience while working in Annuity Operations at MetLife.

Sullivan earned his Bachelor of Arts degree in communications from the University of Connecticut. 

Judy Schott
AVP Member Solutions

Judy Schott

(770) 984-3751

SchottJ@LOMA.org

AVP Member Solutions

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