Rule 19-2-18.04 - ExemptionsUnless otherwise specifically included, this regulation shall not apply to recommendations involving:
A. Direct response solicitations where there is no recommendation based on information collected from the consumer pursuant to this regulation;B. Contracts used to fund:(1) An employee pension or welfare benefit plan that is covered by the Employee Retirement and Income Security Act (ERISA);(2) A plan described by Sections 401(a), 401(k), 403(b), 408(k) or 408(p) of the Internal Revenue Code (IRC), as amended, if established or maintained by an employer;(3) A government or church plan defined in Section 414 of the IRC, a government or church welfare benefit plan, or a deferred compensation plan of a state or local government or tax exempt organization under Section 457 of the IRC;(4) A nonqualified deferred compensation arrangement established or maintained by an employer or plan sponsor;C. Settlements of or assumptions of liabilities associated with personal injury litigation or any dispute or claim resolution process; orD. Formal prepaid funeral contracts.19 Miss. Code. R. 2-18.04
Miss. Code Ann. §§ 83-5-29 to 83-5-51 (Rev. 2011)