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Ann Began Furman

Ann Began Furman

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Overview

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.

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Recognition

  • 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"

Professional & Community Involvement

  • Member, Association of Life Insurance Counsel
  •  Member, American Bar Association
    • Subcommittee on Securities Activities of Insurance Companies, Business Law Section
  • Member, District of Columbia Bar
    • Investment Management Committee
  • Member, Insured Retirement Institute
    • Securities Regulatory and Advocacy Committee
    • Broker-Dealer Committee
  • Faculty Member, ALI-ABA Conference on Life Insurance Regulatory Product
  • Faculty Member, IRI Government, Legal and Regulatory Affairs Conference
  • Faculty Member, ACLI Compliance and Legal Sections Annual Meeting
  • Member, Catholic Charities of the Diocese of Arlington
    • Special Gifts Committee

Speaking Engagements

  • "Protecting Older Investors," IRI ACTION18 Conference, Washington (May 9, 2018)
  • “Regulatory Update on Key Broker-Dealer Issues,” Client Focus Forum, Baltimore (October, 2016)
  • "Effective Social Media and Advertising Strategies," IRI Government, Legal and Regulatory Conference (2012)
  • "General Counsels with Broker-Dealer Affiliations: Are You the Gatekeeper/Supervisor for Securities Activities?", ACLI Compliance and Legal Sections Annual Meeting (2012)
  • "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)
  • "Advertising Compliance at FINRA and in the States," IRI Government, Legal and Regulatory Conference (2011)
  • "Distribution and Advertising Developments," ALI-ABA Conference on Life Insurance Company Products (2010)
  • "Variable Insurance Product Advertising Issues," Practising Law Institute (PLI) Conference on Understanding the Securities Products of Insurance Companies (2005)
  • NAVA Compliance and Regulatory Affairs Conference
    •  Senior Investors (2008)
    •  Suitability (2007)
    • Regulation of Indexed Annuities (2006)
    • ASD 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)

Credentials

Education
  • Georgetown University Law Center (J.D., 1987)
    • Law and Policy in International Business
  • University of California, Berkeley (B.S., with honors, 1978)
Bar Admissions
  • District of Columbia
  • California
Court Admissions
  • United States Supreme Court

Disclaimer

The information on this website is presented as a service for our clients and Internet users and is not intended to be legal advice, nor should you consider it as such. Although we welcome your inquiries, please keep in mind that merely contacting us will not establish an attorney-client relationship between us. Consequently, you should not convey any confidential information to us until a formal attorney-client relationship has been established. Please remember that electronic correspondence on the internet is not secure and that you should not include sensitive or confidential information in messages. With that in mind, we look forward to hearing from you.