SEC Adopts Summary Prospectus for Variable Insurance Products The SEC has adopted a new rule that permits, on a voluntary basis, the use of a summary prospectus for variable annuities...
December 02, 2020
Volcker Rle Covered Fnd Amendments Welcomed by Bank-Affiliated Asset Managers The five agencies charged with implementing the Volcker Rle have issed final amendments to the reglations governing the so-called “covered...
December 02, 2020
New SEC Whistleblower Rules: Some Processes Streamlined, Others May Be More Onerous In an effort to “provide greater transparency, efficiency and certainty to the Award Amount determination process,” the SEC...
December 02, 2020
Transitioning to a Zero Commission World: Action Steps for Advisers It’s a race to the bottom! That’s not sally a good thing – except when it comes to commissions for...
December 02, 2020
Adviser Advocacy Day to Focus on Tax, Privacy and Electronic Disclosure Issues The IAA encourages advisory firm executives to join us in Washington, DC on June 11 for our 13th...
December 01, 2020
Common Pitfalls in Advisory Billing Practices – A Focs on Fees and Expenses To no one’s srprise, the topics of advisory fees, billing practices, and valation contine to be at...
December 01, 2020
SEC Asset Management Advisory Committee’s First Meeting Set for Janary 14 The Asset Management Advisory Committee – formed recently to help the SEC refine its reglatory approach in the face...
December 01, 2020
NY Federal Cort: Interests in Syndicated Loans are Not Secrities A grop of banks in a lending syndicate scceeded in the .S. District Cort for the Sothern District of New...
December 01, 2020
Rep. Brad Sherman Elected Chairman of Capital Markets Sbcommittee The Hose Financial Services Committee has annonced that Congressman Brad Sherman (D-Calif.) has been elected as chairman of the Sbcommittee on...
December 01, 2020