Searching Content indexed under Finance and Banking by Thomas C. Lauerman ordered by Published Date Descending.
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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
Investment Adviser Fee Table On The Table
On February 7, the Massachusetts Securities Division asked for public comment on a fee table requirement for Massachusetts-registered investment advisers.
United States
6 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
Special Purpose National Bank Charter For FINTECH Firms
The office of the Comptroller of the Currency (OCC) published a draft supplement to its licensing manual, to define and tailor the requirements for FINTECH companies that apply for special purpose...
United States
10 Jul 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
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
SEC Watchdog To Watch Watchdog
The SEC's Office of Compliance Inspections and Examinations (OCIE) has established a dedicated team charged specifically with inspecting FINRA and other FINRA-related work.
United States
5 Jan 2017
SEC Curious About Mutual Fund Unicorns
The SEC staff has reportedly been asking mutual funds how they value their investments in "unicorns" – i.e., dynamic pre-IPO companies with market capitalization exceeding $1 billion, and shares that are not publicly traded.
United States
1 Nov 2016
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