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SEC brings action against independent fund trustees and provides gloss on section 15(C) process

USA - May 9 2013 May 9, 2013 -- The SEC has settled a noteworthy enforcement action against mutual fund trustees -- including independent trustees -- and service…

Gary Cohen

SEC staff clarifies status of insurance networking arrangements

USA - April 29 2013 On April 23, 2013, the Staff of the Securities and Exchange Commission ("SEC") issued a No-Action Letter to three trade groups addressing the…

Jo Cicchetti, Marilyn Sponzo

CFPB issues report on the use of senior designations and recommendations for regulation

USA - April 24 2013 April 22, 2013 -- On April 18, the Consumer Financial Protection Bureau ("CFPB") delivered a report to Congress and the Securities and Exchange…

Ann Black, Scott C. Shine

Iowa leads the way issuing guidance on annuity illustrations

USA - April 5 2013 April 5, 2013 -- On April 3, 2013, Iowa Insurance Commissioner Nick Gehart issued Iowa Insurance Department ("IID") Bulletin 13-01 providing guidance…

Ann Black

FINRA to firms: file communications to existing customers

USA - February 15 2013 When FINRA's new rules governing communications with the public go into effect on February 4, 2013, firms may need an associated increase in their…