Advisories

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Title Category State Advisory Date Advisory Forms Other
New York Reg 194 Agent Advisory Annual Compliance Reminders New York 1/1/2011 2011-129-NY 2011-129-NY-Form 2011-129-NY-Article
District of Columbia - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities District of Columbia 1/4/2011 2011-130-DC    
Colorado - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Colorado 2/15/2011 2011-131-CO    
Wisconsin - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Wisconsin 4/1/2011 2011-132-WI    
Rhode Island - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Rhode Island 4/25/2011 2011-133-RI    
Annual Compliance Reminders - 2011 Annual Compliance Reminders [ALL] 5/5/2011 2011-134-ALL    
Annual Compliance Reminders - 2011 - NY Annual Compliance Reminders New York 5/5/2011 2011-135-NY    
New York - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities New York 5/16/2011 2011-136-NY    
Oregon - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Oregon 5/18/2011 2011-137-OR    
Ohio - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Ohio 5/18/2011 2011-138-OH    
West Virginia - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities West Virginia 6/10/2011 2011-139-WV    
New Jersey - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities New Jersey 6/22/2011 2011-140-NJ    
North Dakota - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities North Dakota 7/11/2011 2011-141-ND    
Texas - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Texas 8/12/2011 2011-142-TX    
South Carolina - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities South Carolina 9/1/2011 2011-143-SC    
Maryland - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Maryland 10/17/2011 2011-144-MD    
Illinois - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Illinois 11-04-2011 2011-145-IL Maryland - Suitability - Annuities Illinois 11/4/2011 2011-145-IL    
Alaska - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Alaska 12/28/2011 2011-146-AK    
California - Suitability in the Sale of Annuities, Agent Training, and Suitability Addendum Suitability - Annuities California 12/29/2011 2011-151-CA 2011-147-CA-Form 2011-147-CA-Addendum
Hawaii - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Hawaii 12/28/2011 2011-148-HI    
Kentucky - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Kentucky 12/28/2011 2011-149-KY    
Indiana - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Indiana 12/28/2011 2011-150-IN    
Connecticut - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Connecticut 1/18/2012 2012-152-CT    
Washington - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Washington 3/9/2012 2012-153-WA    
Utah-Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Utah 5/25/2012 2012-156-UT    
South Dakota - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities South Dakota 6/18/2012 2012-157-SD    
Nebraska - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Nebraska 8/1/2012 2012-158-NE    
Annual Compliance Reminder - 2013 Annual Compliance Reminders [ALL] 4/9/2013 2013-160-ALL    
Annual Compliance Reminder - 2013 - NY Annual Compliance Reminders New York 4/9/2013 2013-161-NY    
Idaho - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Idaho 5/3/2013 2013-162-ID    
Michigan - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Michigan 5/24/2013 2013-163-MI    
Kansas - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Kansas 5/24/2013 2013-164-MI    
Minnesota - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Minnesota 5/29/2013 2013-165-MN    
Annual Compliance Reminders - 2014 Annual Compliance Reminders [ALL] 4/8/2014 ADV-1004-ALL    
Missouri - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Missouri 3/30/2017 ADV-1024    
Virginia - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Virginia 3/31/2017 ADV-1023    
Arizona - Agent Training Suitability - Annuities Arizona 1/1/2018 ADV-1035-AZ    
Arizona - Agent Training for New York Agents Suitability - Annuities Arizona 1/1/2018 ADV-1035-AZ    
Montana - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Montana 12/31/2017 ADV-1034-MT    
Pennsylvania - Suitability in the Sale of Annuities, Continuing Education & Agent Training Suitability - Annuities Pennsylvania 12/26/2018 2018-152-PA    
Annual Compliance Reminder - 2019 - NY Annual Compliance Reminders New York 5/1/2019 ADV-1008-NY    
Annual Compliance Reminder - 2019 Annual Compliance Reminders [ALL] 5/1/2019 ADV-1004-ALL    
Annual Compliance Reminder - 2020 Annual Compliance Reminders [ALL] 5/1/2020 ADV-1066-ALL    
Annual Compliance Reminder - 2020 - NY Annual Compliance Reminders New York 5/1/2020 ADV-1066-NY    
Annual Compliance Reminder - 2021 Annual Compliance Reminder [ALL] 5/1/2021 ADV-1120-ALL    
Annual Compliance Reminder - 2021 - Morgan Stanley Annual Compliance Reminder [ALL] 5/1/2021 ADV-1120-ALL-MS    
Annual Compliance Reminder - 2021 - NY - Morgan Stanley Annual Compliance Reminder New York 5/1/2021 ADV-1120-NY-MS    
Annual Compliance Reminder - 2021 - NY Annual Compliance Reminder New York 5/1/2021 ADV-1120-NY    
Annual Compliance Reminder - 2018 - NY Annual Compliance Reminders New York 5/1/2018 ADV-1008-NY    
Annual Compliance Reminder - 2018 Annual Compliance Reminders [ALL] 5/1/2018 ADV-1004-ALL    
Wyoming - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Wyoming 9/25/2014 ADV-1008-WY    
Massachusetts - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Massachusetts 9/30/2016 ADV-1009-MA    
New Hampshire - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities New Hampshire 12/31/2014 ADV-1009-NH    
Maine - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Maine 10/31/2015 ADV-1012-ME    
Tennessee - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Tennessee 10/31/2015 ADV-1014-TN    
Georgia - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Georgia 2/29/2016 ADV-1017-GA    
Complaint Advisory Annual Compliance Reminders [ALL] 11/16/2018 ADV-1041-ALL    
Complaint Advisory - NY Annual Compliance Reminders New York 11/16/2018 ADV-1041-NY    
Sales of Annuities and Life Insurance Products to Veterans Suitability - Annuities California 3/28/2019 03-28-2019-ADV-CA    
Alabama - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Alabama 1/1/2022 ADV-1141-AL    
Kentucky - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Kentucky 1/1/2022 ADV-1141-KY    
Maine - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Maine 1/1/2022 ADV-1141-ME    
Nebraska - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Nebraska 1/1/2022 ADV-1141-NE    
North Dakota - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities North Dakota 1/1/2022 ADV-1141-ND    
Connecticut - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Connecticut 3/1/2022 ADV-1154-CT    
Maryland - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Maryland 9/23/2022 ADV-1166-MD    
New Mexico - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Anuities Nebraska 9/23/2022 ADV-1166-NM    
Colorado - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Colorado 10/11/2022 ADV-1167-CO    
South Carolina - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities South Carolina 10/11/2022 ADV-1167-SC    
Alaska - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Alaska 11/22/2022 ADV-1168-AK    
Hawaii - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Hawaii 12/12/2022 ADV-1170-HI    
Minnesota - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Minnesota 12/12/2022 ADV-1170-MN    
North Carolina - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities North Carolina 12/12/2022 ADV-1170-NC    
South Dakota - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities South Dakota 12/12/2022 ADV-1170-SD    
Wyoming - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Wyoming 1/17/2023 ADV-1174-WY    
Massachusetts - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Massachusetts 5/16/2023 ADV-1177-MA    
West Virginia - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities West Virginia 5/16/2023 ADV-1177-WV    
Annual Compliance Reminder - 2023 Annual Compliance Reminders [ALL] 7/19/2023 ADV-1178    
Annual Compliance Reminder - 2023 - NY Annual Compliance Reminders New York 7/19/2023 ADV-1178-NY    
Georgia - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Georgia 7/27/2023 ADV-1180-GA    
Illinois - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Illinois 7/27/2023 ADV-1180-IL    
Oklahoma - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Oklahoma 8/23/2023 ADV-1182-OK    
Florida - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Florida 12/31/2023 ADV-1187-FL    
Kansas - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Kansas 12/31/2023 ADV-1187-KS    
Oregon - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Oregon 12/31/2023 ADV-1187-OR    
Tennessee - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Tennessee 12/31/2023 ADV-1187-TN    
Washington - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Washington 12/31/2023 ADV-1187-WA    
New Hampshire - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities New Hampshire 4/12/2024 ADV-1191-NH    
Annual Compliance Reminder - 2024 Annual Compliance Reminders [ALL] 7/2/2024 ADV-1192    
Indiana - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Indiana 6/27/2024 ADV-1194-IN    
Utah - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Utah 6/27/2024 ADV-1194-UT    
Vermont - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Vermont 6/27/2024 ADV-1194-VT    
Annual Compliance Reminder - 2024 - NY Annual Compliance Reminders New York 7/2/2024 ADV-1195-NY    
Missouri - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Missouri 8/22/2024 ADV-1197-MO    
Annual Compliance Reminder - 2014 - NY Annual Compliance Reminders New York 4/8/2014 ADV-1005-NY    
Annual Compliance Reminder - 2012 Annual Compliance Reminders [ALL] 4/20/2012 2012-154-ALL    
Annual Compliance Reminder - 2016 Annual Compliance Reminders [ALL] 4/26/2016 ADV-1004-ALL    
Annual Compliance Reminder - 2016 - NY Annual Compliance Reminders New York 4/26/2016 ADV-1005-NY    
Annual Compliance Reminder - 2017 - NY Annual Compliance Reminders New York 4/10/2017 ADV-1005-NY    
Annual Compliance Reminder - 2017 Annual Compliance Reminders [ALL] 4/10/2017 ADV-1004-ALL    
Annual Compliance Reminder - 2012 - NY Annual Compliance Reminders New York 4/20/2012 2012-155-NY    
Annual Compliance Reminder - 2015 Annual Compliance Reminders [ALL] 4/17/2015 ADV-1004-ALL    
Annual Compliance Reminder - 2015 - NY Annual Compliance Reminders New York 4/17/2015 ADV-1005-NY    
Idaho - Suitability in the Sale of Annuities & Agent Training Suitability - Annuities Idaho 7/1/2020 2020-526-ID    
New York Cybersecurity Regulation Annual Compliance Reminders New York 3/1/2019 03-01-2019-NY    
New York Regulation 187 Advisory Annual Compliance Reminder New York 5/28/2019 ADV-1052-NY   ADV-1052-NY-Attachment
Producer Standard of Care Updates Annual Compliance Reminder [ALL] 8/8/2019 ADV-1056-ALL   ADV-1056-Reg
National Product Training Letter Suitability - Annuities [ALL] 12/10/2014 RD-1061    
New York Regulation 187 Advisory - Life Annual Compliance Reminder New York 11/1/2019 ADV-1065-NY    
Regulatory developments on consumer privacy and data security Annual Compliance Reminder [ALL] 5/17/2019 ADV-1051-ALL    
Variable Annuity Replacements Suitability - Annuities [ALL] 2/26/2019 02-26-2019-VAR    
Oklahoma Regulatory change for Producer Acting as Agent Annual Compliance Reminder [ALL] 10/28/2019 ADV-1064-ALL   ADV-1064-ALL-Attachment
Montana - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Montana 8/16/2021 ADV-1135-MT    
Texas - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Texas 8/16/2021 ADV-1135-TX    
Virginia - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Virginia 8/16/2021 ADV-1135-VA    
Arizona - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Arizona 12/31/2020 ADV-1086-AZ    
Iowa - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Iowa 1/1/2021 ADV-1086-IA    
Rhode Island - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Rhode Island 4/1/2021 ADV-1086-RI    
Arkansas - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Arkansas 6/29/2021 ADV-1121-AR    
Delaware- NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Delaware 6/29/2021 ADV-1121-DE    
Idaho - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Idaho 6/29/2021 ADV-1121-ID    
Michigan - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Michigan 6/29/2021 ADV-1121-MI    
Ohio - NAIC Suitability in Annuity Transactions Model Regulation Suitability - Annuities Ohio 6/29/2021 ADV-1121-OH    

If you have questions, or would like to be added to a mailing list to receive regulatory updates, please contact the Life & Retirement Sales Desk at invest@symetra.com or 1-800-706-0700.

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