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An In-Depth Discussion with Senior FINRA Staff on Recent Advertising and Distribution Developments

From the ALI CLE program, "

Life Insurance Company Products 2017:

Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues" (November 1. 2017)

Original Date(s): November 1-3, 2017
Segment Runtime: 01:00:54
Speakers: Ms. Nicolas, Ms. Wingler, Mr.Das, and Mr. Wrona

Includes the following course materials:

  • FINRA Regulatory Developments Affecting Variable Life Insurance Products and Recent Enforcement Actions
  • Overview of Advertising Compliance and Social Media - Slides

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Current Federal Legislative and Income Tax Developments

From the ALI CLE program, "

Life Insurance Company Products 2017:

Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues" (November 1. 2017)

Original Date(s): November 1-3, 2017
Segment Runtime: 01:00:32
Speakers: Ms. MacIvor, Mr. Keene, Mr. Leifer, and Mr. Tackney

Includes the following course materials:

  • Current Federal Legislative and Income Tax Developments
  • Federal Legislative Update for Life Insurers - Slides

More Information: Current Federal Legislative and Income Tax DevelopmentsMore Info Preview Preview Add to Cart - Current Federal Legislative and Income Tax Developments Buy MP3  $129.00


Fixed and Fixed Indexed Insurance Products: Key Design and Sales Trends Fueling Growth and Sales

From the ALI CLE program, "

Life Insurance Company Products 2017:

Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues" (November 1. 2017)

Original Date(s): November 1-3, 2017
Segment Runtime: 58:36
Speakers: Ms. Moore, Mr. Bilello, and Mr. Nelson

Includes the following course materials:

  • Life Insurance Design & Sales Trends - Slides
  • Recent Developments in the Fixed Annuity and Fixed Indexed Annuity Marketplace

More Information: Fixed and Fixed Indexed Insurance Products: Key Design and Sales Trends Fueling Growth and SalesMore Info Preview Preview Add to Cart - Fixed and Fixed Indexed Insurance Products: Key Design and Sales Trends Fueling Growth and Sales Buy MP3  $119.00


Industry Leaders Discuss Key Annuity and Life Insurance Design and Sales Trends

From the ALI CLE program, "

Life Insurance Company Products 2017:

Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues" (November 1. 2017)

Original Date(s): November 1-3, 2017
Segment Runtime: 01:09:41
Speakers: Ms. Mosbacher and Mr. Solash, moderated by Mr. Pfeifer

Includes the following course materials:

  • High Level Product Reviews

More Information: Industry Leaders Discuss Key Annuity and Life Insurance Design and Sales TrendsMore Info Preview Preview Add to Cart - Industry Leaders Discuss Key Annuity and Life Insurance Design and Sales Trends Buy MP3  $129.00


Key DOL Fiduciary Rule Compliance and Implementation Issues, Hot Button ERISA Litigation Cases and Trends, and More

From the ALI CLE program, "

Life Insurance Company Products 2017:

Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues" (November 1. 2017)

Original Date(s): November 1-3, 2017
Segment Runtime: 01:01:33
Speakers: Ms. Pancoast, Mr. Delany, Mr. Geale, and Mr. Roberts

Includes the following course materials:

  • ERISA Litigation Developments Relevant to Life Insurance Company Products
  • The U.S. Department of Labor Fiduciary Rule and Related Prohibited Transaction Exemptions

More Information: Key DOL Fiduciary Rule Compliance and Implementation Issues, Hot Button ERISA Litigation Cases and Trends, and MoreMore Info Preview Preview Add to Cart - Key DOL Fiduciary Rule Compliance and Implementation Issues, Hot Button ERISA Litigation Cases and Trends, and More Buy MP3  $129.00


Mutual Funds and Advisers: Key Regulatory and Litigation Developments

From the ALI CLE program, "

Life Insurance Company Products 2017:

Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues" (November 1. 2017)

Original Date(s): November 1-3, 2017
Segment Runtime: 01:12:51
Speakers: Ms. Hardt, Mr. Bopp, Mr. Johnson, Mr. Murphy, and Mr. Puretz

Includes the following course materials:

  • A Touch of Class: Mutual Fund Share Class Developments
  • Developments in Litigation under Section 36(b) of the 1940 Act
  • Mutual Funds and Advisers: Important Regulatory Developments

More Information: Mutual Funds and Advisers: Key Regulatory and Litigation DevelopmentsMore Info Preview Preview Add to Cart - Mutual Funds and Advisers: Key Regulatory and Litigation Developments Buy MP3  $129.00


Optimizing Your SEC and FINRA Compliance Examination Experience

From the ALI CLE program, "

Life Insurance Company Products 2017:

Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues" (November 1. 2017)

Original Date(s): November 1-3, 2017
Segment Runtime: 01:12:18
Speakers: Mr. Davis, Mr. Royer, Mr. Polansky, and Mr. Walsh

Includes the following course materials:

  • Optimizing Your SEC and FINRA Compliance Examination Experience

More Information: Optimizing Your SEC and FINRA Compliance Examination ExperienceMore Info Preview Preview Add to Cart - Optimizing Your SEC and FINRA Compliance Examination Experience Buy MP3  $129.00


Overview of the Federal Securities Law Framework Applicable to Insurance Products

From the ALI CLE program, "

Life Insurance Company Products 2017:

Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues" (November 1. 2017)

Original Date(s): November 1-3, 2017
Segment Runtime: 02:02:40
Speakers: Richard T. Choi and Stephen E. Roth

Includes the following course materials:

  • Primer on the Regulation of Variable Annuity and Variable Life Insurance Products Under the Federal Securities Laws
  • Regulation of Variable Products Under the Federal Securities Laws

More Information: Overview of the Federal Securities Law Framework Applicable to Insurance ProductsMore Info Preview Preview Add to Cart - Overview of the Federal Securities Law Framework Applicable to Insurance Products Buy MP3  $179.00


Q&A with Dalia Blass, Director of the Division of Investment Management, U.S. Securities and Exchange Commission

From the ALI CLE program, "

Life Insurance Company Products 2017:

Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues" (November 1. 2017)

Original Date(s): November 1-3, 2017
Segment Runtime: 26:19
Speakers: Dalia Blass

Includes the following course materials:

  • Current SEC and FINRA Enforcement Priorities and Actions Affecting Insurance Products and Mutual Funds

More Information: Q&A with Dalia Blass, Director of the Division of Investment Management, U.S. Securities and Exchange CommissionMore Info Preview Preview Add to Cart - Q&A with Dalia Blass, Director of the Division of Investment Management, U.S. Securities and Exchange Commission Buy MP3  $109.00


Recent SEC and FINRA Enforcement Developments

From the ALI CLE program, "

Life Insurance Company Products 2017:

Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues" (November 1. 2017)

Original Date(s): November 1-3, 2017
Segment Runtime: 57:29
Speakers: Ms. O’Riordan, Ms. Schroeder and Mr. Topetzes

Includes the following course materials:

  • Current SEC and FINRA Enforcement Priorities and Actions Affecting Insurance Products and Mutual Funds

More Information: Recent SEC and FINRA Enforcement DevelopmentsMore Info Preview Preview Add to Cart - Recent SEC and FINRA Enforcement Developments Buy MP3  $119.00


SEC Registered Insurance Products: Recent Disclosure, Regulatory, and Accounting Issues

From the ALI CLE program, "

Life Insurance Company Products 2017:

Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues" (November 1. 2017)

Original Date(s): November 1-3, 2017
Segment Runtime: 01:15:17
Speakers: Ms. Kent, Ms. Proch, Ms. Staloch, Mr. Kosoff, and Mr. Lunde

Includes the following course materials:

  • SEC Release Adopting Rule 6c-8
  • Substitution Transactions Under the Investment Company Act of 1940
  • The Emerging World and Regulatory Framework of Registered Index-Linked Insurance Contracts
  • The Emerging World and Regulatory Framework of Registered Index-Linked Insurance Contracts
  • Variable Insurance Product Trends: Innovating in Response to Regulatory and Market Forces

More Information: SEC Registered Insurance Products: Recent Disclosure, Regulatory, and Accounting IssuesMore Info Preview Preview Add to Cart - SEC Registered Insurance Products: Recent Disclosure, Regulatory, and Accounting Issues Buy MP3  $129.00


SEC Regulatory Reforms in the Trump Era

From the ALI CLE program, "

Life Insurance Company Products 2017:

Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues" (November 1. 2017)

Original Date(s): November 1-3, 2017
Segment Runtime: 01:12:35
Speakers: Ms. McNeil, Mr. Cohen, Mr. Evers, Mr. Kotapish, and Mr. Wilkerson

Includes the following course materials:

  • 'SEC Wish List' of Life Insurance Companies Under the Trump Administration
  • Summary VA Prospectus Initiative - Slides
  • Update on the SEC's Evaluation of Best Interest Standards of Care for Broker-Dealers and Investment Advisers

More Information: SEC Regulatory Reforms in the Trump EraMore Info Preview Preview Add to Cart - SEC Regulatory Reforms in the Trump Era Buy MP3  $129.00


Reservation of Rights Letters: Issues to Consider When Coverage Is in Question

From the ALI CLE program, "Reservation of Rights Letters: Issues to Consider When Coverage Is in Question" (September 8. 2017)

Original Date(s): September 8, 2017
Segment Runtime: 01:34:12
Speakers: Jeffrey S. Whittington and David A. Shaneyfelt

Includes the following course materials:

  • Reservation of Rights Letters: Issues to Consider When Coverage Is in Question - Slides

More Information: Reservation of Rights Letters: Issues to Consider When Coverage Is in QuestionMore Info Preview Preview Add to Cart - Reservation of Rights Letters: Issues to Consider When Coverage Is in Question Buy MP3  $149.00


Additional Insured Coverage: Avoid Liability and Indemnification Pitfalls

From the ALI CLE program, "Additional Insured Coverage: Avoid Liability and Indemnification Pitfalls" (April 20. 2016)

Original Date(s): April 20, 2016
Segment Runtime: 01:29:37
Speakers: Timothy E. Delahunt and Kevin T. Merriman

Includes the following course materials:

  • Additional Insured Coverage: Avoid Liability and Indemnification Pitfalls - Outline
  • Additional Insured Coverage: Avoid Liability and Indemnification Pitfalls - Slides

More Information: Additional Insured Coverage: Avoid Liability and Indemnification PitfallsMore Info Preview Preview Add to Cart - Additional Insured Coverage: Avoid Liability and Indemnification Pitfalls Buy MP3  $119.00


D & O Insurance: Evaluating & Negotiating Coverage & Indemnification

From the ALI CLE program, "D & O Insurance: Evaluating & Negotiating Coverage & Indemnification" (June 11. 2015)

Original Date(s): June 11, 2015
Segment Runtime: 01:00:54
Speakers: Kit Chaskin, Gary P. Seligman, Kevin M. LaCroix

Includes the following course materials:

  • D&O Insurance: Evaluating & Negotiating Coverage & Indemnification - Slides
  • D&O Insurance: The Basic Value Proposition

More Information: D & O Insurance: Evaluating & Negotiating Coverage & IndemnificationMore Info Preview Preview Add to Cart - D & O Insurance: Evaluating & Negotiating Coverage & Indemnification Buy MP3  $119.00


Critical Coverage Developments in Commercial and Property Insurance

From the ALI CLE program, "Critical Coverage Developments in Commercial and Property Insurance" (June 10. 2015)

Original Date(s): June 10, 2015
Segment Runtime: 01:32:21
Speakers: Laura A. Foggan, John D. Shugrue

Includes the following course materials:

  • Critical Coverage Developments in Commercial and Property Insurance - Slides

More Information: Critical Coverage Developments in Commercial and Property InsuranceMore Info Preview Preview Add to Cart - Critical Coverage Developments in Commercial and Property Insurance Buy MP3  $149.00


Insurance Bad Faith: Strategies for Avoiding or Pursuing Claims

From the ALI CLE program, "Insurance Bad Faith: Strategies for Avoiding or Pursuing Claims" (May 28. 2015)

Original Date(s): May 28, 2015
Segment Runtime: 59:47
Speakers: David A. Shaneyfelt, Raymond J. Tittmann, Melissa White

Includes the following course materials:

  • Insurance Bad Faith: Strategies for Avoiding or Pursuing Claims
  • Insurance Bad Faith: Strategies for Avoiding or Pursuing Claims - Slides

More Information: Insurance Bad Faith: Strategies for Avoiding or Pursuing ClaimsMore Info Preview Preview Add to Cart - Insurance Bad Faith: Strategies for Avoiding or Pursuing Claims Buy MP3  $109.00


Insurance Due Diligence in Mergers & Acquisitions: Assess Risk, Reduce Exposure

From the ALI CLE program, "Insurance Due Diligence in Mergers & Acquisitions: Assess Risk, Reduce Exposure" (April 22. 2015)

Original Date(s): April 22, 2015
Segment Runtime: 59:21
Speakers: Linda E. Klamm, Robert A. Benjamin, Emily Maier

Includes the following course materials:

  • Checklist for Insurance Due Diligence in Mergers & Acquisitions
  • Insurance Due Diligence in Mergers & Acquisitions

More Information: Insurance Due Diligence in Mergers & Acquisitions: Assess Risk, Reduce ExposureMore Info Preview Preview Add to Cart - Insurance Due Diligence in Mergers & Acquisitions: Assess Risk, Reduce Exposure Buy MP3  $109.00


Employment Practices Liability Insurance (EPLI): Risk Management and Avoidance

From the ALI CLE program, "Employment Practices Liability Insurance (EPLI): Risk Management and Avoidance" (September 29. 2014)

Original Date(s): September 29, 2014
Segment Runtime: 01:06:27
Speakers: Nina Markey, Robert Pizarro

Includes the following course materials:

  • Employment Practices Liability Insurance (EPLI): Risk Management and Avoidance - Slides
  • Sample Employment Practices Liability Insurance Policy - AmTrust Insurance

More Information: Employment Practices Liability Insurance (EPLI): Risk Management and AvoidanceMore Info Preview Preview Add to Cart - Employment Practices Liability Insurance (EPLI): Risk Management and Avoidance Buy MP3  $119.00


Medicare Set Aside Trusts: Critical Issues Surrounding Personal Injury Awards

From the ALI CLE program, "Medicare Set Aside Trusts: Critical Issues Surrounding Personal Injury Awards" (December 3. 2008)

Original Date(s): December 3, 2008
Segment Runtime: 01:02:23
Speakers: Bradley J. Frigon and Patricia F. Sitchler

Includes the following course materials:

  • Informed Consent Form (2008)
  • Recovering for Personal Injury: Successful End or Just the Beginning Medicare’s Interest in a Personal Injury Settlement?PowerPoint Presentation

More Information: Medicare Set Aside Trusts: Critical Issues Surrounding Personal Injury AwardsMore Info Preview Preview Add to Cart - Medicare Set Aside Trusts: Critical Issues Surrounding Personal Injury Awards Buy MP3  $119.00


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