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Description: On December 17, 2008, the SEC approved Rule 151A, which will regulate equity indexed annuities as securities. In this webcast, you'll get an update on the status of the rule, and some of the consequences to insurance companies, agents, broker-dealers and representatives, and consumers if it becomes effective as written. Panelists will also discuss the pros and cons of the Regulation from different industry (insurance vs. broker-dealer) and consumer perspectives, as well as discuss what steps firms may need to consider in preparing for the effective date of the regulation.
About the Presenters:
Joel Beck is the principal attorney with The Beck Law Firm, LLC, located in Snellville, Georgia,a suburb of Atlanta. His practice focuses on financial markets law, where he represents brokerdealers,registered investment advisors, brokers and advisors in regulatory investigations and disciplinary actions, and litigation and arbitration. Joel also occasionally represents investors in claims against a brokerage firm for broker misconduct. Prior to forming his own firm, Joel worked for 10 years at NASD (now FINRA), and spent his last six years at NASD as an Enforcement attorney where he litigated regulatory actions against brokers and firms. Joel has earned designation as a Certified Regulatory and Compliance Professional from the NASD Institute at the Wharton School of Business. He earned his JD, Magna Cum Laude from John Marshall Law School where he received the West Publishing Company Award for Academic Excellence, and earned his BBA from Georgia Southern University.
Marc S. Dobin, Esq. is a Partner and Director of the Financial Services Division in the Florida law firm, LaBovick & LaBovick, PA. Mr. Dobin has over 15 years of experience practicing law in Florida. His area of concentration includes arbitration, employment law, commercial litigation, and securities-related issues. Mr. Dobin is an experienced and technologically savvy attorney. Prior to joining the firm, Mr. Dobin was a solo practitioner in the law firm, Marc S. Dobin, P.A. after co-founding the law firm, Dobin & Jenks, LLP in January 1999. In addition, Mr. Dobin served as Vice President and Associate General Counsel for Prudential Securities Incorporated in New York, prior to working in private practice.
Linas Sudzius is president of Advanced Underwriting Consultants, a group that provides advanced sales support to life insurance professionals.
About Oden Insurance Services:
Oden can show you the way to insurance compliance.
The insurance industry is regulated by all 50 states, D.C., Puerto Rico, the Virgin Islands, and various departments of the federal government. Oden Insurance Services guides those involved in the business of insurance through the complexities of regulatory compliance with:
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Concise and easy-to-read summaries of statutes, regulations, bulletins and other regulatory sources
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Knowledge-based software that directly applies compliance requirements to your business processes
http://west.thomson.com/products/services/oden/default.aspx
 | | Practice Areas: | | Administrative Law & Regulation, Administrative Practice & Procedure, Broker-Dealer, Corporate & Securities, Insurance Law, Securities & SEC Regulation | | | Online Media Type: | | Audio, Podcast | | | Production Date: | | 06/25/2009 | | | Level: | | Intermediate | | | Category: | | Standard | | | Duration: | | 1 Hours, 5 Minutes | | | Online Format: | | On Demand | |
Click here for information on subscription discounts and Group Viewing opportunities.
Purchase of this product provides online access for 180 days. If you are purchasing a live webcast, you will receive complimentary access to the on demand version for 180 days once it becomes available -- usually within a week of the live webcast. Please note that the on demand and podcast versions may, or may not be accredited in your state.
If you intend to take a course for CLE credit, please make sure your state is listed in the "Accreditation" section to the upper right of the program description. Accreditation displayed is unique to the purchased program format (live conference, live webcast, on demand, podcast). Credit totals listed for live conferences are the maximum credits available. Credits issued will be based upon actual time in attendance. Credit totals for other formats are for complete programs. Partial credit is not available for any online or downloadable format.
West LegalEdcenter will not provide accreditation for states not listed.
This product is intended for individual use by the named purchaser. Group viewings for online programs may be arranged for five or more attorneys within the same organization prior to viewing by emailing sales@westlegaledcenter.com.
Podcast Accreditation Information
If you are seeking MCLE credit, please be sure to read both documents provided in My Programs after purchase of the podcast in their entirety.
MCLE Credit is only available for states listed in the "Podcast Accreditation" section on this page. MCLE credit may not be requested for states not listed.
A verification code will be provided at a random point within the audio file. There will be a separate code for each hour of the program. Please be sure to note each verification code.
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| AK, AZ, CA, CO, FL, GA, IL, IN, ME, MO, MS, NC, ND, NH, NJ, NM, NV, NY, OR, PA, VI, VT, WA, WI, WV | | Alaska | | | Total Credits: 1 | | Specialty Credits: | | Status: Accredited | | Expiration: N/A | | Training Type: Online |
West LegalEdcenter will not provide accreditation for states not listed.
Not accredited in your state? You may be able to self apply for credit.
Check your state requirements and get contact information. | | |
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| AK, AZ, CA, CO, FL, GA, ME, MO, NC, ND, NH, NJ, NV, NY, OK, PA, UT, VI, VT, WV | | Alaska | | | Total Credits: 1 | | Specialty Credits: | | Status: Accredited | | Expiration: N/A | | Training Type: N/A |
West LegalEdcenter will not provide accreditation for states not listed.
Not accredited in your state? You may be able to self apply for credit.
Check your state requirements and get contact information. | | |
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| | • | Joel R. Beck - The Beck Law Firm LLC; Snellville, GA | | • | Marc S. Dobin - LaBovick & LaBovick PA; Palm Beach Gardens, FL | | • | Linas Sudzius, JD, CLU, ChFC - President, Advanced Underwriting Consultants; Franklin, TN |
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