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Troutman Pepper Locke

Investment Management Update - Q3 2024

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On August 28, the U.S. Securities and Exchange Commission (SEC) adopted amendments to certain registered investment companies (funds) reporting requirements. The SEC originally proposed the amendments on November 2, 2022....more

Eversheds Sutherland (US) LLP

Videocast: Asset management regulation in 2020 videocast series – The annuity regulatory landscape

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

Ballard Spahr LLP

State Attorneys General Seek Injunction Against SEC’s Implementation of Regulation Best Interest

Ballard Spahr LLP on

In a very unusual lawsuit, attorneys general from seven states and the District of Columbia recently sued the SEC, and its chair, Jay Clayton, for declaratory and injunctive relief seeking to block the effectiveness of...more

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