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Registered Rep. January 1, 2007 Alan Lavine	Fish or Fowl? Are equity-indexed annuities securities or insurance? The NASD offered only loose recommendations to member firms about how sales of this product should be conducted and supervised, but most broker/dealers are implementing them anyway.
Registered Rep. June 1, 2005	Could Fear of Variable Annuities Have Anything to Do With This? According to a study, equity-indexed annuities accounted for 30% of total annuity sales last year, up from just 6% in 2002.
Registered Rep. September 1, 2005 Kristen French	VA Sales Keepin' On Despite the recent onslaught of negative regulatory and media attention to variable annuities, sales of these products have not suffered.
BusinessWeek February 7, 2005 Ellen Hoffman	Annuities: Don't Believe The Hype Many of the tax benefits of variable annuities no longer exist, but the hard sell continues
Financial Planning June 1, 2007 Marshall Eckblad	4 Questions Mary Schapiro is chairman and CEO of the NASD, which is set to merge later this year with the New York Stock Exchange. Here, she spoke about the new organization that she has been appointed to lead.
Registered Rep. February 1, 2006 John Churchill	Schapiro in, Glauber Out at NASD in 2007 Mary Schapiro, head of NASD Regulatory Policy and Oversight, will be taking over for Robert Glauber as chairman of the NASD at the end of the year. One tough cop replaces another.
Registered Rep. April 1, 2005 Will Leitch	Elder Abuse, Advisor Style The NASD says it will propose "significant" regulatory changes to the way variable annuities are sold, claiming elderly clients are being "scared" into investing in products against their best interests.
Financial Advisor December 2004 Ted Schwartz	Time For Some Changes Are variable annuities the greatest invention since sliced bread or are they a scourge that should be driven from the planet? Here are some suggestions for changes to the industry to take annuities out of the regulators' crosshairs.
Financial Planning February 1, 2007 Marshall Eckblad	5 Questions A short interview with Margaret Sheehan, author of Practical Guide to NASD Regulation about the outlook for the NASD in 2007.
Financial Planning June 1, 2007 David Thetford	Compliance Tips VA Due Diligence: Rising popularity and complexity have made variable annuities a target for the SEC and NASD.
U.S. Banker December 2005	Investment products: Index-Rate Annuity Sales Surge at Banks Nationwide A once-obscure product, the equity-indexed annuity, is climbing steadily in popularity -- representing a major sales opportunity for banks -- thanks to its higher recent returns than the traditional fixed annuity.
The Motley Fool April 13, 2004 Dan Otter	Annuities in a 403(b) or 457(b)? Before you invest in an annuity, make sure there aren't better options available. It won't take long to find them.
Registered Rep. January 16, 2004 John Churchill	NASD Charges Waddell & Reed With Violations The NASD Wednesday slapped Waddell & Reed with more than 6,700 complaints, charging that the firm systematically encouraged brokers to recommend unsuitable variable annuity exchanges to its customers.
Financial Advisor May 2004 Alan Lavine	Dramatic Changes Loom For Mutual Fund, Annuities Sales Proposed disclosure rules could hurt level-load sales.
Registered Rep. May 14, 2007 Kevin Burke	NASD Chair Sees Better Oversight of New Products Mary Shapiro told mutual fund executives she sees better regulation of investment products as a result of a merged NYSE and NASD. While this may be better news for investors, purveyors of mutual funds may find themselves in the crosshairs.
Registered Rep. July 25, 2011 Lena S. Rizkallah	Are the New Dodd-Frank Regulations Good for the Insurance Business? While the Dodd-Frank Act will impose additional restrictions on previously unregulated areas in the financial industry, it may also set additional limitations in place on the insurance industry, which some advisors view as unnecessary and others beneficial.
Registered Rep. March 9, 2006 Halah Touryalai	NYSE Reg. And NASD: Merger `Em?; A Senate Committee Opens Hearings on SROs Are federal securities laws crafted in the 1930s still effective 70 years on? And, more important, is a privately owned, for-profit NYSE Group able to "self-regulate" itself without being mired in conflicts? And, as registered reps, should you care?
Financial Planning July 1, 2006 Elizabeth O'Brien	A Cheaper Annuity Is Raymond James's new cap on fees the start of a trend in variable annuities?
Investment Advisor April 2010 James J. Green	Annuity Sales Increase Reports released by the Insured Retirement Institute found that the sales of both fixed and variable annuities continued to recover in the fourth quarter of 2009.
Registered Rep. March 2, 2006 John Churchill	NASD Promotes Its Online Education Program Called the E-learning Exchange, the NASD created the online education tool for reps and firms last May in order to help securities firms head off compliance and regulatory problems before they start.
Financial Advisor October 2008 Tracey Longo	Unwanted Scrutiny One of the quickest ways to get regulators' attention these days is to single out retirees and seniors in your advisory firm's marketing initiatives.
Registered Rep. January 12, 2006 John Churchill	Schapiro in for Glauber at NASD 2007 The NASD Board of Governors announced today that Mary Schapiro, currently the self-regulator's head of Regulatory Policy and Oversight, will become the NASD's chairwoman when the term of its current chief ends in December 2006.
The Motley Fool October 9, 2009 Dan Caplinger	This Much-Hated Investment Could Actually Help You Few investments inspire such devotion and scorn as annuities.
Registered Rep. October 20, 2004 Will Leitch	Tough Talk at SIA Mutual Fund Conference NASD Chairman and CEO Bob Glauber blasted the mutual fund industry for trying to shift the focus of SEC regulation away from the people it was intended to protect: the investors.
BusinessWeek September 24, 2007 Aaron Pressman	Retirement Made Complicated Why equity-indexed annuities have a bad name and what investors need to know.
Registered Rep. April 7, 2005 Kristen French	NASD Advocates More Disclosure, Less Paper Broker/dealers and their reps may get a big break on point-of-sale disclosure if the Securities and Exchange Commission heeds recent NASD advice.
Wall Street & Technology January 6, 2006 Ivy Schmerken	Everything's Coming Up Hybrid Will a joint NYSE - NASD regulator result in the $100 million-a-year savings that the NASD is proposing in the hybrid regulation of dual member firms?
Investment Advisor September 2006	Changes Mary Schapiro was scheduled to become chairman and CEO of the NASD... President Bush has nominated former SEC Commissioner Cynthia Glassman as Under Secretary for Economic Affairs... etc.
Financial Planning May 1, 2011 Donald Jay Korn	Nice Niche Two product lines in the fixed annuity category set sales records in 2010. Index annuities (up 6%) and immediate annuities (up 2%) both recorded modest increases over 2009, but they did reach the highest levels on record, according to Beacon Research in Evanston, Ill.
Investment Advisor June 2010 Melanie Waddell	FINRA's Ketchum Sees a Fiduciary Future for B/Ds Inappropriate sales of VAs to seniors at top of FINRA regulatory radar.
BusinessWeek February 24, 2011 Faux & Collins	Indexed Annuities Can Yield Surprises Some investors choosing indexed annuities to limit the downside are finding the upside limited, too -- along with high fees and long lock-up periods.
Financial Advisor April 2004 Tracey Longo	Wanted: Real Disclosure Rules on brokers compensation disclosure are changing---but slowly.
On Wall Street October 1, 2012 Dave Lindorff	Indexed Annuities Grab the Spotlight Indexed annuities have gained popularity while variable annuities have softened, as the players on the buy and sell side change.
Financial Planning October 1, 2005 Joan Warner	EIAs: Behind the Hype Equity-indexed annuities are flying off the shelves, but they carry risks that regulators fear are not wholly disclosed.
Investment Advisor March 2007	March 2007 NASAA reported that between 2004 and 2005, 26% of the 3,635 state enforcement actions dealt with the financial exploitation of seniors... Financial Services Institute Chairman John Simmers announced FSI will issue a white paper... etc.
Financial Planning February 1, 2005 Donald Jay Korn	All Fixed Up? Low returns have dampened the demand for fixed annuities, but will the aging of America spur sales of fixed annuities?
Registered Rep. September 1, 2004 Namita Devidayal	A Fitting Problem Having found the securities industry severely wanting in its policing of research conflicts, market-timing and fee disclosures, the regulators are looking to see if similar abuses exist in the insurance industry.
On Wall Street April 1, 2010 Alan J. Foxman	New Firm, Better Annuity, Client Still Not Happy Advisor Q&A: Client complains about annuity surrender charge... Terminated reps and identity theft...
Financial Planning February 1, 2006 Patrick Ferrer	Annuities Special: Fee Factor When your clients buy annuities, do you really know what they're paying for?
Investment Advisor May 2006	Group Think NASD's initiative with the SEC and Florida Office of Financial Regulation to help educate senior investors... Financial reporting must be overhauled to ensure that investors are given accurate and not misleading information... etc.
Financial Advisor March 2004 Tracey Longo	Making The Grade With Variable Annuity Exchanges With the creation of one-shot wrinkle reducers like Botox, battery-operated automobiles and cloned humans, can a world where there is no need to replace variable annuities be far off?
Investment Advisor June 2007 Kathleen M. McBride	Interesting Times Independent broker/dealers find opportunity in the face of changing winds.
Investment Advisor October 2006 Kathleen M. McBride	News & Products How sweet it is: KeyCorp is selling its McDonald Investments branch network to UBS... More than a slap: Prudential Securities, Inc. was ordered to pay $600 million to regulators... etc.
Investment Advisor December 2006 Kathleen M. McBride	Three-Part Harmony Financial advisors, sing along as the SEC is set to look at proposals for regulatory rules that have been harmonized in an attempt to eliminate, or greatly reduce, conflicts, duplication, and confusion, in a new hybrid set of rules.
Investment Advisor July 2008 Melanie Waddell	Drivers of Annuity Sales Assets in annuities will jump to $2.9 trillion by 2012 -- a compound annual growth rate of 7.9% -- sparked by demographic trends and product development that addresses both guaranteed income and principal protection.
The Motley Fool July 25, 2007 Buz Livingston	Beware of Brokers Bearing Annuities Be careful, be very careful, when listening to sales pitches from insurance agents promoting retirement planning. Big commissions and poor performance can cost you.
Investment Advisor April 2007 Kara P. Stapleton	News & Products Mary Schapiro, NASD Chairman and CEO, announced that the regulatory consolidation between NASD and NYSE Member Regulation is on track... Securities America, Inc. launched a new Assistant of the Year program... etc.
Financial Planning August 1, 2010 Paul Menchaca	Annuities From Bust to Boom With roughly 76 million baby boomers set to retire, the insurance industry could be poised to significantly grow its annuity market.
Investment Advisor June 2009 Melanie Waddell	Retirement Planning: Warming Up to Annuities Investment advisors are steadily increasing their use of immediate annuities for rollover dollars, according to a recent study by Cerulli Associates.
Investment Advisor October 2008 Marlene Y. Satter	Changing of the Guard Catherine Weatherford, long-time executive vice president and CEO, will be leaving her post after the 2008 Fall National meeting.