Prudential Select Strategies LLC

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)

11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
THE PRUDENTIAL INSURANCE
COMPANY OF AMERICA
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
INSURANCE DEPARTMENT OF THE COMMONWEALTH OF PENNSYLVANIA
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
CEASE AND DESIST, UNDERTAKING.
3.
Date Initiated (MM/DD/YYYY): 
07/15/2015
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
DOCKET NO. MC16-04-001
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):

6.
Principal Product Type:
Insurance
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
PENNSYLVANIA INSURANCE DEPARTMENT ALLEGES VIOLATIONS OF :40 P.S. § 323.3(A) WITH RESPECT TO MAINTAINING CERTAIN RECORDS; 40. P.S.
§§ 1171.5(A), 1171.5(A)(1)(I), AND 1171.5(A)(7)(II) WITH RESPECT TO AN ERROR AND OMISSION REGARDING AND RESPONSE TIMES TO, CERTAIN
CUSTOMER COMPLAINTS CONSTITUTING AN "UNFAIR METHOD OF COMPETITION" OR "UNFAIR OR DECEPTIVE ACT OR PRACTICE"; AND 31 PA. CODE
§146 5(A) CONSTITUTING FAILURES TO ACKNOWLEDGE CERTAIN CLAIMS WITHIN 10 WORKING DAYS.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Consent
11. Resolution Date (MM/DD/YYYY):
05/24/2016
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 45,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
UNDERTAKING TO COMPLY WITH RECOMMENDATIONS CONTAINED IN THE REPORT ATTACHED TO THE ORDER AND FILE AN AFFIDAVIT STATING
THAT PICA WILL PROVIDE A COPY OF THE REPORT AND ORDER TO ITS DIRECTORS.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
UNDER A CONSENT ORDER, "THE PRUDENTIAL LIFE INSURANCE COMPANY OF AMERICA" (SIC) (PICA) WAS ORDERED TO PAY A $45,000 FINE AND
CEASE AND DESIST FURTHER VIOLATIONS OF 40 P.S. § 323.3(A); 40. P.S. §§ 1171.5(A), 1171.5(A)(1)(I), AND 1171.5(A)(7)(II); AND 31 PA. CODE
§146.5(A). AS PART OF THE CONSENT ORDER, PICA IS TO UNDERTAKE TO COMPLY WITH PENNSYLVANIA INSURANCE DEPT RECOMMENDATIONS
PROVIDED IN A REPORT ACCOMPANYING THE CONSENT ORDER AND PROVIDE SUCH REPORT AND ACCOMPANYING ORDERS TO EACH DIRECTOR.
THE $45,000 PAYMENT AND AFFIDAVIT STATING THAT PICA WILL PROVIDE THE REPORT AND ACCOMPANYING ORDERS TO ITS DIRECTORS MUST
BE PROVIDED TO THE INSURANCE DEPT. WITHIN 30 DAYS OF THE DATE OF THE CONSENT ORDER.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PICA CONSENTED TO AN ORDER BASED ON ALLEGATIONS THAT IT VIOLATED 40 P.S. § 323.3(A)
WITH RESPECT TO MAINTAINING CERTAIN RECORDS; 40 P.S. §§ 1171.5(A); 1171.5(A)(I), AND 1171.5(A)(7)(II) WITH RESPECT TO AN ERROR AND
OMISSION REGARDING, AND RESPONSE TIMES TO, CERTAIN CUSTOMER COMPLAINTS CONSTITUTING AN "UNFAIR METHOD OF COMPETITION" OR
UNFAIR OR DECEPTIVE ACT OR PRACTICE"; AND 31 PA. CODE §146.5(A) CONSTITUTING FAILURES TO ACKNOWLEDGE CERTAIN CLAIMS WITHIN 10
WORKING DAYS. PICA WAS ORDERED TO CEASE AND DESIST FURTHER VIOLATIONS, PAY A FINE OF $45,000, AND UNDERTAKE TO COMPLY WITH
INSURANCE DEPARTMENT RECOMMENDATIONS PROVIDED IN A REPORT ACCOMPANYING THE CONSENT ORDER AND PROVIDE SUCH REPORT AND
ACCOMPANYING ORDERS TO EACH DIRECTOR. THE $45,000 PAYMENT AND AFFIDAVIT STATING THAT PICA WILL PROVIDE THE REPORT AND
ACCOMPANYING ORDERS TO ITS DIRECTORS MUST BE PROVIDED TO THE INSURANCE DEPT. WITHIN 30 DAYS OF THE DATE OF THE CONSENT ORDER.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)

11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
THE PRUDENTIAL INSURANCE
COMPANY OF AMERICA
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
INSURANCE DIVISION OF THE SOUTH DAKOTA DEPARTMENT OF LABOR AND REGULATION
2.
Principal Sanction:
Other
Other Sanctions: 
$2,500 FINE
3.
Date Initiated (MM/DD/YYYY): 
08/22/2017
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
DIVISION FILE # 100621
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):

6.
Principal Product Type:
Insurance
Other Product Types: 
GROUP UNIVERSAL LIFE INSURANCE
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
IN 2014, PICA DISCOVERED THAT IT HAD BILLED AND COLLECTED GROUP UNIVERSAL LIFE INSURANCE PREMIUM AT PREMIUM RATES THAT WERE MORE
THAN THE MAXIMUM PREMIUM RATES SET FORTH IN CERTAIN GROUP UNIVERSAL LIFE INSURANCE POLICIES. UPON DISCOVERY, PICA SELF-REPORTED
THIS MATTER TO ITS REGULATORS THE INSURANCE DIVISION OF THE SOUTH DAKOTA DEPARTMENT OF LABOR AND REGULATION ISSUED A CONSENT
ORDER AND IMPOSED A MONETARY PENALTY. THE CONSENT ORDER WAS SIGNED AND RETURNED ALONG WITH A CHECK FOR $2,500 TO THE DIVISION
ON SEPTEMBER 28, 2017.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Consent
11. Resolution Date (MM/DD/YYYY):
09/27/2017
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 2,500.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
UNDER A CONSENT ORDER, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA ("PICA") WAS ORDERED TO PAY A $2,500 FINE FOR VIOLATING
SOUTH DAKOTA INSURANCE CODE §58­55­36 BY COLLECTING AS PREMIUMS OR CHARGES FOR INSURANCE ANY SUM IN EXCESS OF OR LESS
THAN THE PREMIUMS OR CHARGES SPECIFIED IN THE POLICY IN ACCORDANCE WITH THE APPLICABLE CLASSIFICATIONS AND RATES AS FILED
WITH AND APPROVED BY THE DIRECTOR OF THE INSURANCE DIVISION OF THE SOUTH DAKOTA DEPARTMENT OF LABOR AND REGULATION
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
ON SEPTEMBER 27, 2017 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA PAID A FINE OF $2,500.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
IN 2014, PICA DISCOVERED THAT IT HAD BILLED AND COLLECTED GROUP UNIVERSAL LIFE INSURANCE PREMIUM AT PREMIUM RATES THAT WERE MORE
THAN THE MAXIMUM PREMIUM RATES SET FORTH IN CERTAIN GROUP UNIVERSAL LIFE INSURANCE POLICIES. UPON DISCOVERY, PICA SELF-REPORTED
THIS MATTER TO ITS REGULATORS. THE INSURANCE DIVISION OF THE SOUTH DAKOTA DEPARTMENT OF LABOR AND REGULATION ISSUED A CONSENT
ORDER AND IMPOSED A MONETARY PENALTY. THE CONSENT ORDER WAS SIGNED AND RETURNED ALONG WITH A CHECK FOR $2,500 TO THE DIVISION
ON SEPTEMBER 28, 2017.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.

Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
THE PRUDENTIAL INSURANCE
COMPANY OF AMERICA
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
COLORADO DEPARTMENT OF REGULATORY AGENCIES, DIVISION OF INSURANCE
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
$500 FINE $75 SURCHARGE.
3.
Date Initiated (MM/DD/YYYY): 
09/27/2018
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
9975/PRUD131315227
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

6.
Principal Product Type:
Insurance
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
THE COMPANY DID NOT PROVIDE A TIMELY AND COMPLETE RESPONSE TO AN INQUIRY FROM THE DIVISION OF INSURANCE.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Consent
11. Resolution Date (MM/DD/YYYY):
10/31/2018
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 500.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
$75 SURCHARGE
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA WAS FINED $500 AND A SANCTION OF $75. THIS WAS PAID ON 10/31/2018.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA DID NOT PROVIDE A TIMELY AND COMPLETE RESPONSE TO AN INQUIRY FROM THE COLORADO
DIVISION OF INSURANCE.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)

You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
THE PRUDENTIAL INSURANCE
COMPANY OF AMERICA
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
STATE OF NEVADA DEPARTMENT OF BUSINESS AND INDUSTRY, DIVISION OF INSURANCE
2.
Principal Sanction:
Other
Other Sanctions: 
$500 FINE
3.
Date Initiated (MM/DD/YYYY): 
06/26/2019
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
CAUSE NO. 19.0337
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
6.
Principal Product Type:
Insurance
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
THE COMPANY DID NOT PROVIDE A TIMELY SUBMISSION OF AN ANNUAL REPORT TO THE NEVADA DEPARTMENT OF BUSINESS AND INDUSTRY, DIVISION
OF INSURANCE AS REQUIRED BY NRS 683A.08528(1).
8.
Current Status?      
 Pending
 On Appeal
 Final

9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Consent
11. Resolution Date (MM/DD/YYYY):
07/10/2019
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 500.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
$500 FINE PAID 7/10/2019.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
THE COMPANY DID NOT PROVIDE A TIMELY SUBMISSION OF AN ANNUAL REPORT TO THE NEVADA DEPARTMENT OF BUSINESS AND INDUSTRY, DIVISION
OF INSURANCE AS REQUIRED BY NRS 683A.08528(1).

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual

Registered:
Yes
No
Name:
THE PRUDENTIAL INSURANCE
COMPANY OF AMERICA
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES
2.
Principal Sanction:
Other
Other Sanctions: 
$35,000 FINE
3.
Date Initiated (MM/DD/YYYY): 
05/23/2019
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
6.
Principal Product Type:
Other
Other Product Types: 
DEFERRED ANNUITIES AND IMMEDIATE INCOME ANNUITIES
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ON SEPTEMBER 24, 2019, A CONSENT ORDER BETWEEN THE NY DEPARTMENT OF FINANCIAL SERVICES AND PICA WAS EXECUTED. THE MATTER
RELATED TO THE INADEQUATE DISCLOSURES FOR DEFERRED-TO-IMMEDIATE ANNUITY REPLACEMENTS. A FINE WAS ASSESSED IN THE AMOUNT
OF $35,000; RESTITUTION IS ESTIMATED TO BE $14,020.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Consent
11. Resolution Date (MM/DD/YYYY):

07/02/2019
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 35,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
DISGORGEMENT/RESTITUTION: $14,020.00
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
MONETARY/FINE AMOUNT: $35,000.00 DISGORGEMENT/RESTITUTION: $14,020.00
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ON JULY 02, 2019, A CONSENT ORDER BETWEEN THE NY DEPARTMENT OF FINANCIAL SERVICES AND PICA WAS EXECUTED.  A FINE WAS ASSESSED IN
THE AMOUNT OF $35,000; RESTITUTION IS ESTIMATED TO BE $14,020.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
THE PRUDENTIAL INSURANCE
COMPANY OF AMERICA
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the

adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
OREGON DEPARTMENT OF CONSUMER AND BUSINESS SERVICES DIVISION OF FINANCIAL REGULATION
2.
Principal Sanction:
Cease and Desist
Other Sanctions: 
CIVIL AND ADMINISTRATIVE PENALTY(IES)/FINE(S) CONSENT TO ENTRY OF ORDER
3.
Date Initiated (MM/DD/YYYY): 
12/19/2019
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
INS-19-0094
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
6.
Principal Product Type:
Insurance
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA AND THE OREGON DIVISION OF FINANCIAL REGULATION HAVE ENTERED INTO AN AGREEMENT TO
RESOLVE A MATTER IN WHICH CERTAIN NON-PRUDENTIAL INDIVIDUAL LIFE INSURANCE CUSTOMERS IN OREGON DID NOT RECEIVE IN A TIMELY
MANNER ANNUAL STATEMENTS, WHICH WERE TO BE SENT BY A THIRD-PARTY ADMINISTRATOR. THIS OCCURRED IN 60 INSTANCES OVER A THREE-YEAR
PERIOD FROM 2015 TO 2017. THE OREGON CUSTOMERS AT ISSUE HAVE LIFE INSURANCE POLICIES THAT ARE REINSURED AND ADMINISTERED BY
PRUDENTIAL. PRUDENTIAL WAS ORDERED TO PAY A CIVIL PENALTY OF $30,000 ($5K OF WHICH WILL BE SUSPENDED PROVIDED THAT PRUDENTIAL
MEETS THE CONDITIONS SPECIFIED IN THE ORDER) AND CEASE AND DESIST FROM VIOLATING OAR 836-051-0580(1).
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Consent
11. Resolution Date (MM/DD/YYYY):
02/19/2020
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?

 Monetary/Fine Amount: $ 25,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
CEASE AND DESIST
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
PRUDENTIAL WAS ORDERED TO PAY A CIVIL PENALTY OF $30,000 ($5K OF WHICH WILL BE SUSPENDED PROVIDED THAT PRUDENTIAL MEETS THE
CONDITIONS SPECIFIED IN THE ORDER) AND CEASE AND DESIST FROM VIOLATING OAR 836-051-0580(1). THE CIVIL PENALTY WAS RECEIVED BY
THE OREGON DEPARTMENT OF CONSUMER AND BUSINESS SERVICES DIVISION OF FINANCIAL REGULATION ON 2/12/20.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA AND THE OREGON DIVISION OF FINANCIAL REGULATION HAVE ENTERED INTO AN AGREEMENT TO
RESOLVE A MATTER IN WHICH CERTAIN NON-PRUDENTIAL INDIVIDUAL LIFE INSURANCE CUSTOMERS IN OREGON DID NOT RECEIVE IN A TIMELY
MANNER ANNUAL STATEMENTS, WHICH WERE TO BE SENT BY A THIRD-PARTY ADMINISTRATOR. THIS OCCURRED IN 60 INSTANCES OVER A THREE-YEAR
PERIOD FROM 2015 TO 2017. THE OREGON CUSTOMERS AT ISSUE HAVE LIFE INSURANCE POLICIES THAT ARE REINSURED AND ADMINISTERED BY
PRUDENTIAL. PRUDENTIAL WAS ORDERED TO PAY A CIVIL PENALTY OF $30,000 ($5K OF WHICH WILL BE SUSPENDED PROVIDED THAT PRUDENTIAL
MEETS THE CONDITIONS SPECIFIED IN THE ORDER) AND CEASE AND DESIST FROM VIOLATING OAR 836-051-0580(1).