Special Report
Financial and Insurance Meetings Rules and Regulations
A one-stop information source about financial and insurance meetings rules and regulations.
Case Studies
The Inside Story of Regulatory Compliance at Securian FinancialSecurian's focus on ethical behavior comes straight from the top and runs right through the meeting department. As others pay up for sketchy practices,... |
How Meetings and Compliance Work Together at Allstate FinancialWith its aggressive scrutiny and costly enforcement actions, NASD has some planners shaking in their boots. But where others see pitfalls in trying to... |
Q&As/Interviews
FINRA and Incentive TravelIn the second in a series of conversations with Maribel Gerstner, Assistant VP and chief compliance officer for Allstate Distributors, she shares her... Training, Finra-StyleThe Financial Industry Regulatory Authority requires member companies to adhere to strict but sometimes unclear guidelines for training and education meetings. Maribel Gerstner, assistant vice president and chief compliance officer for Allstate Distributors, explains the nuances of how companies can structure FINRA-compliant education conferences.... Interview With Former NASD Compliance Chief Barry GoldsmithFrom 1996 until the beginning of this year, Barry R. Goldsmith served as NASD's top enforcement official. During his tenure as executive vice president... |
Interview with Compliance Expert Christopher Myers on Gifts and Entertainment RegulationsAttorney Chris Myers on how proposed gift and entertainment guidelines could affect financial and insurance meetings.... |
Compliance Trends
The Regulators Crack Down on Industry PracticesMany planners in the financial services industry are facing an uncertain regulatory environment, as the NASD (known formerly as the National Association... New Guidelines on Gifts and EntertainmentPlanners who work for one of the 5,000 companies that fall under the regulatory arm of NASD, may soon be dealing with new guidelines on gift-giving and... |
Regulatory Resources
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