Booming Annuity Sales Put Advisors In Regulators’ Crosshairs
August 12, 2026 by Tracey Longo
Wink’s Moore on the Market: Securities regulators have annuities in their sights.
The moral of this story?
CYA.
(Cover Your Annuities.)
Documentation is key here. Not properly documenting cases could bite you in the end. -sjm
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Annuity sales are booming. So are regulators’ questions about how and why advisors recommend them.
With U.S. annuity sales topping $107 billion during the first quarter of 2026, compliance experts say the biggest risk is no longer the products themselves but whether advisors can prove each recommendation served a client’s best interest. Recent enforcement actions by the Securities and Exchange Commission and the Financial Industry Regulatory Authority increasingly focus on annuity exchanges, compensation conflicts, supervisory controls and the quality of firms’ documentation.
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