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Proposed Regulation BI coverage of retirement investors

USA - March 5 2019 There is some debate about the intended scope of Regulation Best Interest (Regulation BI) as proposed by the Securities and Exchange Commission (SEC)...

Ben Marzouk, Issa J. Hanna, Eric A. Arnold, Sarah Razaq Sallis, Stephen E. Roth, Amber S. Unwala, Bria M. Adams, S. Lawrence Polk, Holly H. Smith, Wilson G. Barmeyer, Adam B. Cohen, W. Mark Smith, John H. Walsh, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Brian L. Rubin, Carol T. McClarnon, Bruce M. Bettigole, Olga Greenberg.


The best interest standard under FINRA’s suitability rule

USA - February 26 2019 In connection with the US Securities and Exchange Commission's (SEC) proposed Regulation Best Interest, the Financial Industry Regulatory Authority...

Ben Marzouk, Issa J. Hanna, Eric A. Arnold, Sarah Razaq Sallis, Amanda R. Giffin, Melissa L. Fox, Stephen E. Roth, Amber S. Unwala, Bria M. Adams, S. Lawrence Polk, Holly H. Smith, Wilson G. Barmeyer, Adam B. Cohen, W. Mark Smith, John H. Walsh, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Brian L. Rubin, Carol T. McClarnon, Bruce M. Bettigole, Olga Greenberg.


New York Circular Letter No. 1 (2019) takes aim at accelerated underwriting

USA - February 26 2019 On January 18, 2019, the New York Department of Financial Services (NYDFS) issued a circular letter to all insurers authorized to write life...

David Hancock, Alexander F. L. Sand, Michael Bahar, Stephen E. Roth, Phillip E. Stano, Susan S. Krawczyk, John S. Pruitt, Mary Jane Wilson-Bilik.


Broker-dealers selling annuities: preparing for the best interest standard under New York's amended Insurance Regulation 187

USA - February 14 2019 Broker-dealers selling annuity products in New York will soon need to comply with new best interest requirements imposed by New York's amended...

Ben Marzouk, Eric A. Arnold, Sarah Razaq Sallis, Stephen E. Roth, Amber S. Unwala, Bria M. Adams, S. Lawrence Polk, Holly H. Smith, Wilson G. Barmeyer, Adam B. Cohen, W. Mark Smith, John H. Walsh, Michael B. Koffler, Brian L. Rubin, Carol T. McClarnon, Bruce M. Bettigole, Olga Greenberg.


Covered Agreement-An overview

USA, United Kingdom, European Union - December 28 2018 On January 13, 2017, the then-US Secretary of the Treasury and the then-US Trade Representative (USTR) notified Congress that they had negotiated a...

Daren L. Moreira, John S. Pruitt.