Searching Content indexed under Insurance by Thomas C. Lauerman ordered by Published Date Descending.
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Parent Company Guarantees Of Annuities
Rule amendments proposed in October by the SEC could impact insurers whose obligations under certain types of annuity contracts have been guaranteed by the insurers' affiliates.
United States
21 Dec 2018
Buffer ETFs Vs. Index-Linked Annuities
Like most ETFs, the buffer ETFs are registered with the SEC on Form N-1A as "open-end" investment companies, and they issue and redeem their shares at net asset value (NAV
United States
21 Dec 2018
FINRA Targets Variable Annuity Practices
FINRA's reported enforcement actions as to certain variable annuity practices increased in 2018.
United States
8 Oct 2018
Dodd-Frank Rollback Benefits Insurers
Subject to certain exceptions, the so-called "Volcker rule" provisions of the Dodd-Frank Act and regulations thereunder (collectively, the Volcker Rule) prohibit "banking entities"...
United States
7 Oct 2018
NAIC Disclosure Developments
The next step is adoption of the revisions by the Life Insurance and Annuities (A) Committee.
United States
10 Apr 2018
The Impact Of The EU Requirement To ‘Unbundle' Research Costs
A recent EU directive prohibits certain investment managers from receiving securities research whose cost is "bundled" together with broker-dealers' costs of effecting securities transactions...
United States
8 Jan 2018
Communications With Auditors And Audit Committees May Change
The SEC has proposed for comment major revisions in the disclosures auditors are required to make in their reports on financial statements audited pursuant to PCAOB standards.
United States
16 Oct 2017
FINRA Public Offering Proposal Excludes All Insurance Contracts
FINRA's proposed amendments, however, resolve any lingering uncertainty for these and any other novel insurance products that may be developed in the future.
United States
6 Jul 2017
SEC Facilitates Product Charge Variations
Over time, such charge structures have proliferated.
United States
12 Apr 2017
Sprouting Activity At The NAIC
Various NAIC groups have planted seeds for a number of regulatory initiatives that impact life insurers.
United States
12 Apr 2017
Back to the Future: 2017 [Expect Focus Life Insurance – December 2016]
Back to the Future: 2017 [Expect Focus Life Insurance – December 2016].
United States
30 Jan 2017
Broker-Dealers Can Hold Customers' Initial Checks
A recent SEC no-action letter gives broker-dealers more time to perform suitability and other reviews when opening certain customer accounts.
United States
5 Jan 2017
SEC Probes Share Class Recommendations
In July, the Securities and Exchange Commission's OCIE announced an initiative to identify instances where registered investment advisers may be improperly influenced by conflicts of interests...
United States
1 Nov 2016
NAIC Round-Up: Selected Recent Developments At The National Association Of Insurance Commissioners
An NAIC working group is considering how to revise provisions in its model regulations governing the content of the policy summary required in life insurance policy illustrations and the policy narrative that must...
United States
2 Aug 2016
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