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SEC Issues Proposed Rule Permitting Variable Annuity and Variable Life Insurance Contracts to Use Layered Disclosure

USA - November 14 2018 The U.S. Securities and Exchange Commission announced on October 30, 2018 that it had voted to issue a proposed rule and form amendments that would...

Jeffrey S. Puretz, Robert A. Robertson.


SEC Proposes Best Interest Standard for Broker-Dealers, Related Investment Adviser Guidance and New Customer Relationship Summary Form

USA - July 11 2018 The U.S. Securities and Exchange Commission has published a package of proposed rules and a proposed interpretation...

Brian J. McGrady, Jr, K. Susan Grafton, Mark D. Perlow, Ashley N. Rodriguez, Christine Ayako Schleppegrell, Shayna Gilmore, Yevgeniy Yalon, Jennifer O'Brien, Michael L. Sherman, Nicholas DiLorenzo.


A Touch Of Class: Mutual Fund Share Class Developments (Part 1)

USA - June 11 2018 Over the past two years, the mutual fund distribution and share class landscape has experienced considerable changes in light of several regulatory...

Erica Evans, Christine Ayako Schleppegrell, Shayna Gilmore, Melissa O'Neill, Jeffrey S. Puretz.


SEC Delays Compliance Dates for Certain Liquidity Rule Requirements; SEC Staff Issues Responses to Second Set of Liquidity Rule FAQs

USA - March 14 2018 The U.S. Securities and Exchange Commission (SEC) on February 21, 2018 adopted an interim final rule (Interim Rule) delaying for six months the...

Mark D. Perlow, Brooke A. Higgs, Patricia Leeson, Jeremy J. Clemens, Brenden P.Carroll, Megan C. Johnson, Julien Bourgeois, Aaron D. Withrow.


SEC Announces Share Class Selection Disclosure Initiative

USA - March 6 2018 The Division of Enforcement (Division) of the U.S. Securities and Exchange Commission (SEC) on February 12, 2018, announced a Share Class Selection...

D. Brett Kohlhofer, Mark D. Perlow, Christine Ayako Schleppegrell, Jeffrey S. Puretz.