On July 1, 2024, the Securities and Exchange Commission (SEC) adopted rule and form amendments to provide a tailored registration framework for registered index-linked annuities (RILAs) and registered market value adjustment...more
On March 11, 2020, the Securities and Exchange Commission (“SEC” or “Commission”) adopted a new prospectus disclosure framework, including new rules, rule amendments and registration statement form amendments, for...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
The US Securities and Exchange Commission (SEC or Commission) recently proposed a new disclosure framework for SEC-registered variable annuity contracts and variable life insurance policies (together, variable contracts) that...more