Ann Furman has more than 30 years of experience representing broker-dealers, investment advisers, investment companies, insurance companies, and transfer agents in complex regulatory matters arising under the federal and state securities laws, FINRA Rules, and state insurance laws.
Ann regularly advises broker-dealers and distributors of mutual funds, variable insurance products, and other securities on regulatory and compliance issues, including supervision, compensation arrangements, suitability, advertising and marketing, books and records, net capital, and new member application (NMA) and continuing member application (CMA) filings with FINRA. She has extensive experience advising financial services clients on new variable insurance product and mutual fund design, and related issues including registration, disclosure, applications for exemptions, requests for no-action, and status questions under the federal securities laws. Ann also has counseled clients on the impact of the Department of Labor’s fiduciary rule and related exemptions with regard to insurance products used to fund retirement plans and individual retirement accounts.
Ann represents clients in internal investigations, regulatory compliance inspections and examinations, and regulatory enforcement matters. She served as an SEC-approved independent compliance consultant retained as part of the resolution of an SEC enforcement action.
