CEFLI’s Regulatory Forum consists of a group of representatives from the SEC, FINRA, and the NAIC to allow CEFLI Premier Partner companies and Affiliate Member organizations to receive timely insights directly from regulatory authorities concerning current marketplace challenges.

CEFLI convenes meetings of its Regulatory Forum on a periodic basis to gain insights from representatives of the SEC, FINRA, the NAIC and selected state insurance departments to allow CEFLI member companies to be aware of current regulatory concerns so they can review their current compliance practices appropriately to enhance, as appropriate, current compliance strategies.