News & Analysis as of

Life Insurance Registration Statement

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SEC Staff Asks for Time: Feels Pressure From Automatic Filing Effectiveness

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Insurance companies filing amendments to registration statements for their variable product registration statements, as well as mutual funds, frequently rely on Rule 485(a). Under the rule, post-effective amendments filed by...more

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Expect Slower SEC Processing of Investment Company Filings

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The SEC has reported to Congress that it expects the Division of Investment Management (IM) to provide comments at a slower pace during the 2018 and 2019 fiscal years....more

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SEC Sidelines Funds Focused on Cryptocurrencies

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In a January 18 letter to two of the fund industry’s leading advocacy groups, the staff of the SEC’s Division of Investment Management advised fund sponsors not to initiate registration of funds that intend to invest...more

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