FINRA – Financial Industry Regulatory Authority finra.org/ brokercheck.finra.org/ 2007 0910 – FINRA – Remarks at the SEC Seniors Summit, Mary L. Schapiro, Chief Executive Officer – [link] The second new sweep targets deceptive early retirement seminars, often relying on IRS Regulation 72t, which permits early withdrawal from a retirement account without the usual tax penalty. These…

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AAII – American Association of Individual Investors aaii.com/ 1998 – AP – Retirement Savings: Choosing a Withdrawal Rate That is Sustainable – [Trinity Study], by Philip L. Cooley, Carl M. Hubbard and Daniel T. Walz, published in the AAII Journal, American Association of Individual Investors – 6p

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ALIC – Association of Life Insurance Counsel alic.cc/ 2008 0518-20 – Seminar – ACLI to ALIC – Association of Life Insurance Counsel Regional Meeting – The Status of Broker-Dealers Engaged in Investment Advisory Functions: Muddy Waters Slowly Clearing, Carl B. Wilkerson – 74p 2019 0924 – Seminar – ACLI to ALIC – Association of Life…

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CFLID – Center for Life Insurance Disputes cflid.com/ Stephen C. Burgess – Founder and President  2009 – CFLID – Beware the “Missed Fortune” Sales Concept: Why you should beware Doug Andrew’s Missed Fortune – 2p davidkinderfinancial.com/post/rebuttal-to-stay-away-from-these-scam-artists

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CAI – The Committee of Annuity Insurers annuity-insurers.org/ 2024 0102 – Letter – CAI – The Committee of Annuity Insurers – EBSA-2023-0014-0368 – RIN-1210-ac01 – [link-47p] The Committee of Annuity Insurers was formed in 1981 to participate in the development of federal policies with respect to annuities. The member companies of the Committee represent approximately…

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