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Searching Content indexed under Securities by Carlton Fields ordered by Published Date Descending.
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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
SEC Lightens Legal Load Of Mutual Fund Directors
The SEC staff now says that mutual fund directors can rely on chief compliance officer certifications in determining compliance with board procedures required by SEC exemptive Rules 10f-3, 17a-7,
United States
21 Dec 2018
4
Is It Time To Revisit SEC's Ban On "Forced" Arbitration Provisions?
The SEC has long refused to allow companies to go public with bylaws or other governing documents that would require shareholders to arbitrate federal securities law claims against the company.
United States
21 Dec 2018
5
Is It Time To Harvest The NAIC Suitability In Annuity Transactions Model Regulation?
At the NAIC Fall 2018 National Meeting, state regulators continued plowing through the Suitability in Annuity Transactions Model Regulation (Model 275) (Suitability Model).
United States
29 Nov 2018
6
SEC-Ordered Disgorgement Is An Uninsurable "Penalty," Not A Covered "Loss"
A New York intermediate appellate court has ruled that a $140 million "disgorgement" payment ordered by the SEC in resolution of an investigation into securities laws violations was a "penalty"...
United States
14 Nov 2018
7
SEC Proposes Summary Prospectus Option And Modernized Disclosure For Variable Insurance Products
On October 30, the SEC voted to propose modernized disclosures for variable annuities and variable life insurance policies, including the use of an optional summary prospectus.
United States
6 Nov 2018
8
Suitability Working Group Stirs Ingredients For Suitability Model Potion
On October 22 and 23, the NAIC Annuity Suitability (A) Working Group (Suitability WG) held an interim meeting to review comments received on the Suitability in Annuity Transactions Model Regulation ...
United States
30 Oct 2018
9
SEC Proceedings Face Uncertainty After Supreme Court Holds ALJs Unconstitutional
After much anticipation, the U.S. Supreme Court ruled on the constitutionality of the Securities and Exchange Commission's (SEC or Commission) Administrative Law Judges (ALJs).
United States
9 Oct 2018
10
SEC: Ether And Bitcoin Are Not Securities
Cryptocurrency investors were concerned following the SEC's July 2017 investigative report on digital token sales by a virtual organization known as "The DAO."
United States
9 Oct 2018
11
SEC ‘Investor Experience Initiative' Expressly Includes Variable Insurance Products
The SEC, on June 5, announced that it would be exploring "modernization of the design, delivery and content of fund disclosures" ...
United States
8 Oct 2018
12
SEC Proposes New Rule Impacting ETFs
On June 28, the SEC proposed new rule 6c-11 to allow open-end exchange-traded funds that satisfy certain conditions to operate without obtaining an SEC exemptive order.
United States
8 Oct 2018
13
XBRL Amendments Have Limited Impact On Insurance Products
On June 28, the SEC amended existing requirements for public operating companies and mutual funds regarding the use of eXtensible Business Reporting Language (XBRL) for financial statement
United States
7 Oct 2018
14
SEC Regulation Best Interest: Charting A Course For Securities And Annuity Sales
In June, we circulated our fifth article on the continuing saga regarding the standard of conduct for sales of securities and annuities
United States
10 Sep 2018
15
SEC Stays Approval Of Quadruple-Leveraged ETF
The SEC also gave the public until June 15, 2017, to provide additional comments.
United States
3 Aug 2018
16
In The Duty Of Care Race, The NAIC Is In The Chase With New Proposed Revisions To Its Annuity Suitability Model
On July 24, in preparation for its August 4 meeting at the NAIC 2018 Summer National Meeting, the Annuity Suitability (A) Working Group (the "Suitability WG") peddled fast...
United States
1 Aug 2018
17
Two New FINRA Rules For The Protection Of Senior Investors
The protection of senior investors continues to be a priority for FINRA, from both an examination and enforcement perspective.
United States
18 Jul 2018
18
Expect Focus - Life Insurance, Volume II, June 2018
Expect Focus - Life Insurance, Volume II, June 2018
United States
18 Jul 2018
19
To Preempt Or Not To Preempt - Courts Issue Competing SLUSA Rulings
The New Jersey federal district court judge remanded the action. In state court, AXA again moved to dismiss, this time successfully.
United States
11 Jul 2018
20
Supreme Court Set To Rule On Constitutionality Of SEC's ALJs
As a result, the Supreme Court appointed an amicus curiae, New York appellate attorney Anton Metlitsky, to defend the SEC's prior position.
United States
9 Jul 2018
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