ADVERTISING COMPLIANCE
Any time we communicate with a client or a prospective client, it is considered advertising. All advertising must be reviewed by NFP's Advertising Compliance Review Center prior to use. In addition, all advertisements must be reviewed and approved by the insurance carrier as required.
NFP Advertising Guidelines
The NFP Advertising Guidelines Memo provides instructional support on how to improve the content of advertisements prior to review by NFP and Graphic Guidelines for use in creation of advertising pieces (brochures, presentation, business cards, letterhead, etc.).
For regulatory purposes, firms must disclose their legal name on all materials. Firms that conduct investment sales or services should submit materials for review by NFP Securities, Inc. via ACR or their applicable broker/dealer. If you have questions regarding the Brand Identity Style Guidelines, please contact marketing@nfp.com.
Please note that registered representatives of NFP Securities, Inc. must also comply with applicable broker/dealer requirements.
NFP Advisor Services Advertising Compliance Review
If you are a registered representative of NFPSI, use the Advertising Compliance Review Center (ACR) to submit and track your advertising/sales literature for review. Authorization is required to access the link. If you would like access or if you have any other questions, please contact:
Advertising Communications and Support
512.697.6438
GO TO ACR NOW
Life and Annuity
The NAIC Advertisements of Life Insurance and Annuities Model Regulation (Model Regulation) proposes guidelines on life insurance advertising that many states have incorporated into their regulations. Since the Model Regulation is not available online, we are providing a link to the Washington Advertising Regulation, which is substantially similar to the Model Regulation.
Although this information does not substitute for a thorough review of applicable state law, it does provide a starting point to help you understand advertising regulations. For specific questions on life insurance advertising, please contact Jennifer Sladek at 512.697.6855 or jennifer.sladek@nfp.com.
Fixed Insurance
The Producer Market Conduct Guide documents NFP's general guidelines and procedures for NFP principals, employees, member firms subsidiaries and producers relating to fixed insurance.
Topics include:
- producer licensing
- sales practices
- unfair trade practices
- disclosures
- policy replacement
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- fraudulent insurance acts
- client monies
- complaints
- business practices
- discipline for policy violations
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