Ann Began Furman
Partner

Washington, D.C.

Email: abf@jordenusa.com
Phone: 202.965.8130
Fax: 202.965.8104

Ann Furman chairs Jorden Burt's SEC/FINRA Practice Team. For 25 years she has represented insurance companies, investment advisers, broker-dealers and investment companies in regulatory and compliance matters arising under the federal and state securities laws, state insurance laws, and FINRA Rules. She has extensive experience advising financial services clients on mutual fund and variable insurance product design, organization, registration, and disclosure issues, status questions under the federal securities laws, regulatory examination matters, SEC periodic reporting requirements, electronic commerce issues, financial privacy issues, social media, and private placement transactions, among other things.

Ms. Furman served as an SEC-approved independent compliance consultant retained as part of the resolution of an SEC enforcement action. She also provides regulatory and compliance counseling to broker-dealer clients, on issues involving supervision, compensation arrangements, suitability, e-mail retention and production, advertising, and books and records issues.

Speeches and Publications

• Speaker: The Securities Status of Fixed Annuities and Other Products in the Aftermath of the Harkin Amendment and the Withdrawal of Rule 151, Association of Life Insurance Counsel Annual Meeting (2011)
• Speaker and Moderator: IRI Government, Legal and Regulatory Conference: Advertising Compliance at FINRA and in the States (2011);
• Speaker: Distribution and Advertising Developments, ALI-ABA Conference on Life Insurance Company Products (2010)
• Speaker: Variable Insurance Product Advertising Issues, Practising Law Institute (PLI) Conference on Understanding the Securities Products of Insurance Companies (2005)
• Speaker and Moderator: NAVA Compliance and Regulatory Affairs Conference: Senior Investors (2008); Suitability (2007); Regulation of Indexed Annuities (2006); NASD Regulatory and Enforcement Update (2005); Managing the Compliance Risks of Offshore Outsourcing (2004); Hot Button Issues for Regulatory Examinations (2003); Developing an Effective Anti-Money Laundering Compliance Program (2002); Optional Federal Chartering for Life Insurance Companies (2001); Developing a Privacy Compliance Program after Gramm-Leach-Bliley (2000); Electronic Commerce in Insurance Product Sales and Distribution (2000)
• Author: "To Dream the Suitable Dream: Harmonizing Federal and State Regulation of Indexed Insurance Products," Association of Life Insurance Counsel Annual Meeting (2011)
• Author: "Variable Products Distribution Issues: Suitability, Advertising and Electronic Communications," ALI-ABA Conference on Life Insurance Company Products (2010)
• Co-Author: The Current State of E-mail Retention and Production Requirements in the Financial Services Industry, NAVA Regulatory Affairs Conference (2005)
• Contributing Author: Column on "Life Insurance and Annuity Developments," contributed to The Investment Lawyer (Wolters Kluwer 1994 - present)
• Contributing Author: Handbook on ERISA Litigation (Aspen 1992) on "ERISA Discrimination Claims and Related Federal Statutory Claims"