Search
Searching Content indexed under Securities by Thomas C. Lauerman ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
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
2
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
3
FINRA Moves Toward SEC Anti-Churning Proposal
On April 18, the SEC voted to propose major rule changes to reconcile and clarify the standards of conduct that apply to broker-dealers and investment advisers.
United States
6 Jul 2018
4
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
5
SEC Facilitates Product Charge Variations
Over time, such charge structures have proliferated.
United States
12 Apr 2017
6
SEC Adopts T+2 Securities Settlement Cycle
The shortened settlement cycle will impact many securities transactions by both retail and institutional investors.
United States
30 Mar 2017
7
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
8
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
9
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
10
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
11
Veil Parted On SEC Whistleblower Award
Early this year, the SEC announced it had paid a whistleblower award of "more than $700,000" to a company "outsider" who "conducted a detailed analysis" that led to a successful enforcement action against the company.
United States
20 Jul 2016
Links to Result pages
 
1