Videocast: Asset management regulation in 2020 videocast series – The annuity regulatory landscape
On March 28, 2025, the Texas Comptroller of Public Account (the “Comptroller”) finalized amendments to Rule 3.330, Data Processing Services, for purposes of the Texas sales and use tax....more
On December 17, the U.S. Small Business Administration issued a final rule that made significant changes to the SBA’s HUBZone small business contracting program. The final rule generally adopted many of the changes SBA...more
The U.S. Bankruptcy Court for the Southern District of New York (SDNY) has issued a general order amending its Local Bankruptcy Rules. The amendments introduce a broad set of changes that will impact all types of bankruptcy...more
In April 2024, the Department of Health and Human Services (HHS) finalized revised regulations implementing Section 1557 of the Patient Protection and Affordable Care Act (ACA). The new, final Section 1557 regulations (2024...more
A Federal District Court in Texas struck down portions of the Department of Labor’s (DOL) revisions to the Davis-Bacon Act Regulations, effectively reducing the scope of work that will be subject to Davis-Bacon Act wages....more
Who may be interested: Investment Companies; Investment Advisers; Broker-Dealers; Transfer Agents - The SEC adopted amendments to Regulation S-P imposing new data privacy and security requirements on broker-dealers,...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
With effect from February 7, the Mainboard Rules and Catalist Rules of the Singapore Exchange Securities Trading Limited will be revised to adopt a risk-based approach to quarterly reporting and to enhance the continuous...more
Over the past five years, the Commodity Futures Trading Commission (CFTC) has settled 20 enforcement actions against financial institutions for violations of various Dodd-Frank Act regulatory requirements (i.e., rules other...more
In response to outcry from educators in and outside of Illinois about the legitimate need to use prone and supine restraint for certain diverse learners and the lack of notice to allow teams to identify alternative...more
On March 20, 2019, the Securities and Exchange Commission (SEC) adopted a series of amendments which seek to simplify the disclosure requirements for some U.S. public companies....more
Early last week, the Small Business Administration (SBA) and Department of Veterans Affairs (VA) amended their rules concerning the eligibility of Veteran-Owned Small Businesses (VOSB)1. Both agencies issued regulations...more
The protection of senior investors continues to be a priority for FINRA, from both an examination and enforcement perspective. In fact, FINRA detailed how seniors are one of its major areas of concern in the last three...more