investment product

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  SEC, FINRA, state exam execs lay out priorities

  By Melanie Waddell  |  June 18, 2013

  Priorities include conflicts of interest, email retention, cybersecurity and some specific products, the executives said at the IRI legal and regulatory conference.

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  5 ways to charge fees

  By Brent Welch  |  April 19, 2013

  Want to stop relying so much on commission? Here's how.

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  ‘No timing’ on VA summary prospectus: SEC’s Nash

  By Melanie Waddell  |  November 2, 2012

  Nash also said she “couldn’t predict” where such a rule proposal falls among the SEC’s priorities.

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  Regulators warn on unsuitable annuity sales to senior vets

  By Maria Wood  |  October 4, 2012

  Some organizations are promoting the sale of deferred annuities to elderly veterans, warn the GAO and NAIC.

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  The Emotivator

  By Corey Dahl  |  May 1, 2012

  Joe Jordan wants life insurance agents to put emotion back into their selling — and develop a little pride in their business while they’re at it. Fortunately for the industry, many producers are listening.

• Boomers seek less volatile portfolios

  By Ed McCarthy, CFP  |  May 1, 2012

  Baby boomers want secure lifetime income, and the advice of a financial professional.

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  Joe Jordan: The Emotivator

  By Corey Dahl  |  April 23, 2012

  Joe Jordan wants life insurance agents to put emotion back into their selling — and develop a little pride in their business while they’re at it. Fortunately for the industry, many producers are listening.

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  Prudential Promotes Retirement Savings Via MSEPs, VAs with Guaranteed Features

  By Elizabeth Festa  |  April 9, 2012

  Prudential outlines a three-step process for individuals and companies to combat the risks of a retirement savings shortfall

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  When Do IRAs and Annuities Mix? (Advisor One)

  By William H. Byrnes, Esq., Robert Bloink, Esq., LL.M.  |  November 17, 2011

  Annuities can be purchased inside an IRA, but is an IRA the right home for an annuity?

• Mutual Fund Shareholder Reports Under Scrutiny

  By Arthur D. Postal  |  November 3, 2011

  As the SEC continues its work on how investors could be getting more useful disclosures, mutual fund shareholder reports are suddenly under the microscope.