Dodie Kent

Dodie Kent

Eversheds Sutherland (US) LLP

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RILA revolution: SEC adopts tailored registration framework for RILAs and MVAs

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

7/29/2024  /  Disclosure Requirements , Registration Requirement , Reporting Requirements , Rulemaking Process , Securities Act of 1933 , Securities and Exchange Commission (SEC) , Securities Exchange Act

SEC permits internet delivery of investment company shareholder reports - including insurance company separate accounts

The Securities and Exchange Commission (SEC) on June 5, 2018, adopted Rule 30e-3 under the Investment Company Act (the Rule), which permits “notice and access” delivery of investment company shareholder reports via website...more

6/26/2018  /  Electronic Records , Electronic Reporting , Investment Companies , Investment Company Act of 1940 , Investment Trust Companies , Reporting Requirements , Retail Investors , Securities and Exchange Commission (SEC) , Shareholders
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