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States Continue to Engage on Standard of Care, Fiduciary Duty Issues

The final adoption on June 5 by the SEC of Regulation BI, Form CRS and other related rules has not slowed down state-level activity concerning the standard of care that BDs and their reps owe to their customers.

The New Jersey Bureau of Securities has issued a proposed regulation that would impose a fiduciary duty on BDs, their reps, investment advisers and investment adviser representatives. After holding several informal discussion sessions with industry and consumer groups, the Bureau indicated that it would not be holding another hearing and that the comment letter deadline would be June 14, 2019.

Despite the fact that the New Jersey administrative code sets up a number of “hoops to jump through” in order to request and be granted a hearing—such as the requirement that at least 50 requests to testify at a hearing be received and that the requests raise issues not previously discussed—NAIFA and a coalition of industry partners were successful in their efforts to have an additional hearing scheduled on the proposal and extend the deadline for the submission of comment letters until July 18. Important to note is the fact that over 25% of the letters requesting a hearing on this important regulation were submitted by NAIFA New Jersey members!

This issue promises to continue to pose ongoing challenges for NAIFA—just one week ago, Massachusetts became the latest state to propose a regulation that would apply a fiduciary duty on BDs, their reps, investment advisors and investment advisor reps. Comment letters on the proposal should be submitted by July 26, 2019.


NAIFA AVP of Government Relations Quoted in CNBC Article

“There isn’t really a process right now for the Senate to pick up their whole package and do some sort of reconciliation,” said Judi Carsrud, assistant vice president of government relations at NAIFA. “So I think it is the Secure bill, the way it has passed the House, or nothing.”

Read More



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You Asked. We Answered.

1/2 Day Session featuring top speakers in advanced practice estate, business, & retirement planning. Join us in Dallas or virtually from your office/home to participate in our first Level Up workshop brought to you by NAIFA and FSP. 

Learn More about Level Up and the APC

Q2 State of NAIFA Webinar

Join us for our Q2 State of NAIFA webinar where we will hear from Jill Judd, National President, Kevin Mayeux, CEO, and Diane Boyle, SVP, Government Relations on the successes we've accomplished in Q2 and what's in store for Q3.

This webinar is open to all members, non-members, sister associations and media. Please encourage everyone to attend and/or watch on-demand. 

State of NAIFA



What's New at P+P?

We are pleased to announce that the 2019 NAIFA Performance + Purpose Conference will have exciting new offerings! To get all the latest news on P+P, subscribe to the blog by clicking "subscribe" at the bottom of the P+P website. 

NAIFA Performance + Purpose will take place September 11 - 14 at the Walt Disney World Dolphin Resort in Orlando Florida. Registration is now open! 

Explore P+P

Virtual Big Ideas Workshop Next Week

We've expanded our popular Big Ideas Workshop series to include a webinar series as well. Join our first one as John D. Richardson, RICP, LACP explores the scrum method to bring a fresh perspective and inspire you to elevate your game.

The Big Ideas Workshop Webinars are a precursor to the live workshops you will receive when you attend the 2019 Performance + Purpose Conference in Orlando. 

Big Ideas Webinar

NAIFA Live is Available On-Demand

Missed an episode? No worries! We have on-demand videos from our past NAIFA Live broadcasts. Our most recent on from this week should be up early next week!

NAIFA Live Archive

Gain Your CLTC Designation this Year?

Are you interested in obtaining your CLTC designation? We are gauging the temperature to see level of interest and where/when you might want to take the CLTC class this year. Take this quick survey to let us know! If we have more than 10 people per class, NAIFA members can receive a bonus discount for classes this year! (This is our new CRM system, so to take the survey, please log in with your email address and reset your password).

Interested in a CLTC Designation this Year? 



Do You Have An LACP Certification?

We are looking for testimonials! Let us know if you're interested in us featuring you and your practice in a nationwide campaign. Email if interested.

Calling All YATs!

Our Advisor Ambassador Program is looking for new speakers. Educate the future members of NAIFA on best prospecting practices or how to differentiate yourself in the industry. To sign up to become a speaker, visit: 

Speaker Signup


Upcoming Webinars:

Making LinkedIn Work for You: Activate and Amplify Your Personal Brand to Move Business Forward
June 26 @ 3pm ET
Presenter: David “D. Fish” Fisher

Social media has become a key tool for business development but are you taking advantage of all the opportunities it provides? After establishing a credible presence and building a network online, how can you leverage social media to build your professional influence? Learn how to use LinkedIn establish a brand, share content, and develop relationships with key centers of influence within your market niche. See how social selling can become a very lucrative habit!


Advisor Solutions: What's Your Elevator Speech?
June 27 @ 4pm ET
Presenter: Coach Dan Finley
This session is designed to show advisors how to create a great elevator speech that will assist them in bringing the listener into their conversation to want to learn more! Most advisors don’t have an elevator speech, they simply say what they do for a living. You want to stand out from the crowd and turn monologue into dialogue.


The Surprising Similarities Between Traditional LTC and Some of New Life/LTC Plans
July 10 @ 2pm EST
Presenter: Tom Riekse

There are many misconceptions among consumers and advisors about both traditional LTC and Linked Life/LTC Plans. This webinar will discuss how the new combination Life/LTC plans can be very similar to traditional LTC plans and visa versa. We’ll discuss:

1) The list of similarities between how the products work
2) The 3 key differences between the types of products
3) Why meaningful benefits can be affordable for a wider consumer market


Ethics for Insurance and Financial Professionals: Questions for Consideration and Discussion - Part 2
Date: July 31 @ 3pm ET



NAIFA Quality Award Application Deadline Extended Through June 30

Earn this mark of distinction (and tell the world!) how you stand out among the competition. 

Apply Now

NAIFA Diversity Champion Award

NAIFA's Diversity Champion Award deadline extended! You have until July 1st to apply for the NAIFA Diversity Champion Award. 

Diversity Champion

YAT Leader of the Year Award

In order to recognize the work of YATs across the federation and their commitment to the industry, NAIFA and the Young Advisors Team (YAT) committee established the YAT Leader of the Year award. 

Application Deadline: July 1, 2019

YAT Leader of Year


NAIFA’s Diversity Symposium Continues Tradition of Excellence!

NAIFA’s 2019 Diversity Symposium was a huge success by any account.  Held in conjunction with the association’s Congressional Conference in Washington, D.C., the meeting was fast-paced and highly interactive, with top-tier executives discussing the changing face of Main Street USA and offering critical insights on mastering cultural competencies, managing different generations in the workforce, and engaging in “effortless connections.”

Diversity & Inclusion On-Demand

4th of July Savings at the GE Appliance Store!

NAIFA members celebrate HUGE July 4th savings at the GE Appliances Store: Save an EXTRA 20% off orders over $999! Plus, save 10% and get free delivery on orders over $399. Visit to start shopping! Offer valid 6/18 – 7/10/19. Excludes Monogram®

New NAIFA Store

Looking for some great NAIFA branded gear? Look no further than the new NAIFA Store! Polos, socks, cinch bags, golf balls, coffee mugs and so much more!


20/20 Member Experience On-Demand Archive

Each month of our 20/20 Member Experience webinars is available at our archive page. From advocacy training, to educating coaching sessions, and even differentiating publications. 

Visit the On-Demand Archives



NAIFA   2901 Telestar Court    Falls Church  VA   22042   USA
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