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SEC adopts groundbreaking disclosure improvements for variable insurance contracts

USA - March 19 2020 On March 11, 2020, the Securities and Exchange Commission (“SEC” or “Commission”) adopted a new Prospectus disclosure framework, including new rules…

Eric A. Arnold, Cynthia R. Beyea, Thomas E. Bisset, Ronald D. Coenen, Jr., Dodie C. Kent, Clifford E. Kirsch, Susan S. Krawczyk, Lorna J. MacLeod, Stephen E. Roth, C. Christopher Sprague, Mary Jane Wilson-Bilik

SEC proposal seeks to expand access to private funds

USA - December 20 2019 On December 18, 2019, the Securities and Exchange Commission (SEC) issued a proposed rule - “Amending the ‘Accredited Investor’ Definition” (the…

Dwaune L. Dupree, Steven B. Boehm, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Cynthia M. Krus, Stephen E. Roth, Holly H. Smith

Fund of funds flexibility - What’s important to BDCs and closed-end funds in the SEC’s rule proposal, including a request for comments on AFFE

USA - January 14 2019 On December 19, 2018, the US Securities and Exchange Commission (SEC) issued a release (the Release) proposing new rule 12d1-4 (the Proposed Rule) and…

Cynthia R. Beyea, Steven B. Boehm, Vlad M. Bulkin, Patricia C. Buxton, Stephani M. Hildebrandt, Terri G. Jordan, Ronald D. Coenen, Jr., Cynthia M. Krus, Payam Siadatpour

SEC investment company filings during government shutdown

USA - January 2 2019 The Securities and Exchange Commission (SEC) is subject to the current federal government shutdown due to lack of funding, and generally it will…

Cynthia R. Beyea, Thomas E. Bisset, James M. Cain, Ronald D. Coenen, Jr., Dodie C. Kent, Lorna J. MacLeod, Patrice M. Pitts, Stephen E. Roth, Mary Jane Wilson-Bilik

SEC proposes new variable contract disclosure regime

USA - November 6 2018 The US Securities and Exchange Commission (SEC or Commission) recently proposed a new disclosure framework for SEC-registered variable annuity…

Thomas E. Bisset, Dodie C. Kent, Stephen E. Roth