On August 4, SEC staff updated guidance on the use of rate sheet supplements in disclosing changes to terms in insurance products. As revised, updated ADI 2018-05 enables insurers to use rate sheet supplements to notify...more
8/11/2025
/ Annuities ,
Compensation & Benefits ,
Disclosure Requirements ,
Employee Benefits ,
Filing Requirements ,
Insurance Contracts ,
Insurance Regulations ,
New Guidance ,
Regulatory Requirements ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Builder of Investment Models Deviates From Blueprints Employee’s Rogue Remodeling Costs Builder Plenty -
The SEC’s recent order instituting administrative and cease-and-desist proceedings (OIP) against registered...more
5/8/2025
/ Algorithms ,
Annuities ,
Compensation & Benefits ,
Employee Benefits ,
Enforcement Actions ,
Financial Services Industry ,
Investment ,
Investment Adviser ,
Investment Funds ,
Investment Management ,
Life Insurance ,
Registered Investment Advisors ,
Retirement Plan ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Contingent deferred annuities (CDAs) represent an interesting approach to securing lifetime income but have struggled for recognition in the marketplace since their introduction more than a decade ago. Recent developments,...more
5/2/2025
/ Annuities ,
Compensation & Benefits ,
Consumer Financial Products ,
Deferred Private Annuities ,
Employee Benefits ,
Financial Services Industry ,
Investment ,
Investment Adviser ,
Regulatory Oversight ,
Regulatory Requirements ,
Retirement Plan ,
Risk Management