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Variable annuity holder granted standing to sue for excessive underlying mutual fund fees

  • Jorden Burt LLP
  • -
  • USA
  • -
  • October 30 2012

The United States District Court in New Jersey recently issued an unpublished ruling that a variable annuity holder had standing to sue for allegedly excessive management fees paid by an underlying mutual fund

Fsoc sheds little light on systemic risk determinations

  • Jorden Burt LLP
  • -
  • USA
  • -
  • August 27 2012

The Financial Services Oversight Council (FSOC) has now spilled considerable ink describing the manner in which it will discharge its responsibility under Dodd-Frank to determine which non-bank financial companies present sufficient risk to the U.S. financial system that they should be subject to special Federal Reserve Board (Fed) regulation pursuant to Dodd-Frank

Mutual funds and insurance companies eye major swap participant definition

  • Jorden Burt LLP
  • -
  • USA
  • -
  • August 27 2012

In April, the CFTC and SEC (the Commissions) finalized rules defining what swap or security-based swap activities will cause a person or company to be a major swap participant or a swap dealer under Dodd-Frank

Second Circuit reverses denial of settlement class certification in AIGGen Re finite reinsurance securities litigation

  • Jorden Burt LLP
  • -
  • USA
  • -
  • August 22 2012

In a case we have reported on previously, AIG purported to settle class action securities law claims arising from alleged finite reinsurance transactions between it and Gen Re

SEC disclosure report may advance VA summary prospectus

  • Jorden Burt LLP
  • -
  • USA
  • -
  • June 4 2012

The SEC has a July 21 deadline to submit to Congress a report of its study of financial literacy and disclosure improvement mandated by the Dodd-Frank Act

Dodd-Frank update

  • Jorden Burt LLP
  • -
  • USA
  • -
  • November 21 2011

A number of activities of potential significance have occurred in the implementation of the Dodd-Frank Act:

Progress in Dodd-Frank implementation

  • Jorden Burt LLP
  • -
  • USA
  • -
  • November 8 2011

A number of activities of potential significance have occurred in the implementation of the Dodd-Frank Act

SEC breaks silence on indexed products

  • Jorden Burt LLP
  • -
  • USA
  • -
  • August 18 2011

The SEC’s Office of Investor Education and Advocacy has placed on its website an Investor Bulletin providing information on features of indexed annuities

Iowa draws line between insurance and securities advice

  • Jorden Burt LLP
  • -
  • USA
  • -
  • July 6 2011

On June 24, 2011, the Iowa Insurance Division, which regulates insurance and securities, issued identical companion bulletins outlining the permitted and prohibited activities of "Insurance-Only Persons" and "Securities-Only Persons." See Insurance Bulletin 11-4 and Securities Bulletin 11-S-1

GAO makes limited recommendations for financial planners

  • Jorden Burt LLP
  • -
  • USA
  • -
  • March 30 2011

In January 2011, the Government Accountability Office (GAO) released a report concerning regulation of financial planners