SEC: Rulemaking

he new procedures will be effective nine months from their publication

This document makes technical corrections to amendments to disclosure requirements and summary prospectus for variable annuity and variable life insurance contracts

The SEC issues a slight correction of its swap recordkeeping rule for B-Ds

These revisions should ease compliance burdens and clarify the application of our rules for smaller reporting companies and issuers relying on Regulation A by focusing ...

My views and support for effective disclosure on “decision useful” information, including the modernization of financial disclosures ... are not new to you"

"The rules create significant risks arising from reduced transparency for investors and potentially facilitating increased economic concentration, the latter risk being especially acute for small ...

The proposed amendments also will help to ensure that the Participants fulfill their obligations to deliver a functional CAT on a reasonably achievable timeframe

SEC issues slight correction of variable annuity contracts' final rule

The IAA: The proposal remains vague and would leave advisers open “to second-guessing in hindsight"

The outbreak of COVID-19 has had far-reaching effects, with small businesses being particularly affected by the closures and safety measures designed to slow the spread ...