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Expect Focus - Volume I, January 2024

Funds Not Caged by SEC Names Rule Amendments: Roaming Room Remains - The SEC recently adopted amendments to its investment company “names” rule that apply to most SEC-registered funds, including underlying funds in which...more

NAFA Enters the Game, Files Amicus Brief in SEC v. Cutter

On August 23, 2023, the National Association for Fixed Annuities (NAFA) filed an amicus brief in the case of SEC v. Cutter Financial Group LLC in federal district court in Boston. The brief followed the filing of an amended...more

Expect Focus - Volume II, May 2023

For broker-dealers distributing and selling variable annuities, examinations will test for compliance with Reg BI and FINRA Rule 2330 because both standards apply to variable annuity sales. Firms distributing and selling...more

Expect Focus - Volume I, January 2023

More than 25 years have elapsed since the SEC adopted Exchange Act Rule 17a-4(f) governing electronic recordkeeping by broker-dealers. In an effort to update the rule to reflect “technology neutral” concepts, the SEC adopted...more

FINRA Issues New Guidance on Succession Planning as Population of Registered Representatives Ages

On November 1, 2022, FINRA issued Regulatory Notice 22-23, which provides member firms with guidance on succession planning. Although the notice imposes no new legal or regulatory requirements, it provides insight into how...more

Unpacking the SEC’s Regulation Best Interest Package

On June 5, 2019, the SEC adopted a four-part regulatory package that includes: new Regulation Best Interest (Reg. BI), the related “Relationship Summary” disclosure form (Form CRS), and two interpretations of the Advisers...more

SEC Proposes Summary Prospectus Option and Modernized Disclosure for Variable Insurance Products

On October 30, the SEC voted to propose modernized disclosures for variable annuities and variable life insurance policies (“variable insurance products” or “contracts”), including the use of an optional summary prospectus....more

SEC Issues Cybersecurity Risk Alert

On April 15th, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert concerning its initiative to assess the cybersecurity preparedness of the securities industry. The Risk Alert states that...more

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