Stephen Roth

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

COVID-19 - The SEC acts quickly

On Wednesday, March 4, 2020, the Securities and Exchange Commission (SEC) issued two statements intended to ease certain corporate governance and reporting obligations in light of the coronavirus disease 2019 (COVID-19). The...more

3/9/2020 / Business Development Companies , Coronavirus/COVID-19 , Corporate Governance , Investment Management , Relief Measures , Reporting Requirements , 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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