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Comply With State and Federal Regulations

LIMRA is your entry point to industrywide knowledge, networking, and services for meeting state and federal requirements. Learn how we can help you achieve your objectives and protect your organization’s hard-earned reputation with regulators and the public.

Hot Topics

New York Regulation 187

With the DOL Fiduciary rule having been vacated in 2018, the intense focus across the industry on the federal fiduciary rule has now shifted to state regulators.  Of particular impact to the life and annuity industry is the New York Department of Financial Services (DFS) amendment to Regulation 187, renamed, “Suitability and Best Interests in Life Insurance and Annuity Transactions” regulation.

SECURE Act

On May 23, the House overwhelmingly passed the Setting Every Community Up for Retirement Enhancement Act of 2019.  Its passage marks significant retirement legislation. 

Regulation Best Interest - Standard of Conduct for Broker-Dealers

The SEC has scheduled a meeting for June 5 to discuss and vote on the final Regulation Best Interest for Broker-dealers, the Interpretation of Standard of Conduct for Investment Advisers, and the Form CRS Relationship Summary for both.

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On-Demand Webinars

Looking Ahead to Best Interest Standards for Life and Annuity Sales

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

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

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

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

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LIMRA Contacts

Judy Zaiken, CLU, ChFC

Corporate Vice President, Strategic Research Initiatives

Work Phone: (860) 285-7895

jzaiken@limra.com

Carolyn Clement

Business Relationship Coordinator

Work Phone: (860) 298-3939

cclement@limra.com