W. Thomas Conner

W. Thomas Conner

Reed Smith

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SEC Sanctions Insurance Company for Variable Contract Pricing Violations

The Securities and Exchange Commission (the “SEC”) recently charged a life insurance company with violating the pricing requirements under Rule 22c-1 of the Investment Company Act of 1940 in respect of purchase and redemption...more

6/2/2015 - Insurance Companies Insurance Contracts Investment Company Act of 1940 Life Insurance Mutual Funds Nationwide Insurance Co. SEC Variable Insurance

CFTC’s Final 'Harmonization' Rules: Shifting Sands in the ETF Competitive Landscape

Background - The Commodity Futures Trading Commission (CFTC) caused quite a stir in 2012 when it changed its rules to require investment advisers to mutual funds that invest to any significant degree in derivatives, to...more

8/20/2013 - CFTC CPO Derivatives ETFs Investment Adviser Mutual Funds Registration SEC

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