Compliance

The Annuity Presentation System is NASD compliant ready. We have taken great measures to be sure our program meets or exceeds compliance in your state.

Our program complies with NASD Rule 2210 regarding the use of Analysis Tools. In 2004, our compliance division spent four-months with one of the largest Broker-Dealer firms in the U.S. The purpose was to make sure our program complies with all NASD rules.

In 1999, the State of Oregon approved our concept for Continuing Education credit. Today our program is widely used by many Registered Representatives and Insurance Producers. This would include CPA’S, Financial Planners and Licensed Accountants.

If you need to send information to your Broker-Dealer for compliance, click here to download the appropriate filing information.

Licensing of Software

The licensing of this software is to Individual Licensed Producers and Registered Representatives only. The software is personalized with your name appearing on all presentation screens and printed illustrations.

Distributing this licensed software to other agents or other entities may create a compliance problem with your Broker-Dealer or the Insurance Department in your state.