On February 15, 2023, the US Securities and Exchange Commission (the SEC) proposed sweeping changes to Rule 206(4)-2 (the Custody Rule) under the Investment Advisers Act of 1940 (Advisers Act), which would be redesignated as...more
On June 30, 2020, the US Department of Labor (DOL) published in the Federal Register a proposed rule that would regulate ERISA plan fiduciary conduct when considering investments under an environmental, social and governance...more
In this Bottom Line videocast, Dodie Kent and Clifford Kirsch discuss:
The continued emergence of registered index linked annuity products.
The NAIC’s amended Suitability Rule.
The SEC’s variable product summary prospectus...more
3/5/2020
/ Amended Rules ,
Asset Management ,
Broker-Dealer ,
Disclosure Requirements ,
Investment Adviser ,
Investment Management ,
Investors ,
NAIC ,
Regulation BI ,
Regulatory Requirements ,
Rulemaking Process ,
Securities Transactions ,
Standard of Conduct
[co-presenter: Pooja Kohli, Litigation Specialist]
Firms that are dually-registered are subject to special considerations under the SEC’s new Regulation Best Interest when offering both advisory and brokerage accounts.
In...more
On Friday, May 31, 2019, the US Securities and Exchange Commission (SEC) hosted a forum (the FinTech Forum) to discuss financial technology developments, including blockchain and distributed ledger technology and...more
6/7/2019
/ Bitcoin ,
Blockchain ,
Capital Formation ,
Cryptocurrency ,
Distributed Ledger Technology (DLT) ,
Ether ,
Financial Markets ,
Financial Services Industry ,
FinHub ,
FinTech ,
Forum ,
Investment Management ,
Popular ,
Securities and Exchange Commission (SEC)