News & Analysis as of

Life Insurance Securities Act of 1933

Carlton Fields

Collective Investment Trust Muddle

Carlton Fields on

SEC Divided on Securities Law Exemptions - SEC Commissioner Hester Peirce in October published an explanation of her dissent from an SEC enforcement action concerning certain collective investment vehicles established by a...more

Faegre Drinker Biddle & Reath LLP

SEC Adopts New Rule 498A for Variable Contracts

On March 11, 2020, the U.S. Securities and Exchange Commission adopted new Rule 498A under the Securities Act of 1933, as amended, and related form and rule amendments. The new rule and amendments are intended to modernize...more

Vedder Price

Investment Services Regulatory Update - December 2018

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts – NEW RULES – SEC Adopts New Rules Permitting Covered Investment Fund Research Reports – On November 30, 2018, the SEC adopted Rule 139b under the Securities Act of...more

Dechert LLP

SEC Issues Proposed Rule Permitting Variable Annuity and Variable Life Insurance Contracts to Use Layered Disclosure

Dechert LLP on

The U.S. Securities and Exchange Commission announced on October 30, 2018 that it had voted to issue a proposed rule and form amendments1 that would allow insurers offering variable annuity and/or variable life insurance...more

Orrick - Finance 20/20

SEC Proposed Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts

Orrick - Finance 20/20 on

On October 30, the Securities Exchange Commission (“SEC“) announced it voted to propose rule changes intended to improve disclosure for investors about variable annuities and variable life insurance contracts. Such...more

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