Latest Posts › Disclosure Requirements

Share:

Presidential Freeze May Put SEC Final Climate Rule on Ice

On February 11, 2025, acting SEC Chair Mark Uyeda announced that the commission is reconsidering the final enhanced and standardized climate-related disclosure rule it adopted in March 2024. Although the final climate rule...more

The Mysterious Boundary Beyond Which “Personal” Relationships Jeopardize a Director’s Independence

In a recent enforcement action, the SEC concluded that the relationship between James Craigie and an officer of Church & Dwight Co. fatally undermined Craigie’s status as an “independent director” of the company under New...more

Courts May Call “Lane Violation” on Recent SEC Actions

With increasing frequency, petitioners representing the securities industry are asking courts to decide that rules adopted by the SEC exceed the agency’s authority, even when the rules have barely left the starting blocks....more

Proxy Advisers Win by a Nose, Eclipse Conflict Disclosure Requirement

In February, a federal district judge in the District of Columbia awarded proxy advisers a victory by vacating an SEC rule provision that they opposed....more

SEC Proposes Fund ESG Disclosure Channels: Different ESG Strategies Must Row in Their Lanes

The SEC has proposed to require that mutual funds — including funds supporting variable insurance products — provide “consistent, comparable, and reliable” disclosure that is meaningful to investors about the role of...more

Variable Product Disclosure Reform: Decision Points for Insurers

Implementing all the reforms adopted by the SEC in connection with its variable insurance product summary prospectus rule (Rule 498A) is potentially a major undertaking, depending on the number and nature of an insurer’s...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

Expect Focus - Volume I, March 2018

EXPECTFOCUS® is a quarterly review of developments in the insurance and financial services industry, provided on a complimentary basis to clients and friends of Carlton Fields Jorden Burt, P.A. ...more

NAIC Disclosure Developments

Annuity Illustration Standard Changes: On March 2, the Annuity Disclosure (A) Working Group of the National Association of Insurance Commissioners agreed to recommend the adoption of a revision to the NAIC’s Annuity...more

Investment Adviser Fee Table on the Table

On February 7, the Massachusetts Securities Division asked for public comment on a fee table requirement for Massachusetts-registered investment advisers....more

12 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide