Under the Trump administration, the Securities and Exchange Commission is in the process of revamping its approach to the cost-benefit analysis it performs in support of its regulatory actions. These changes are being spurred...more
A shift in leadership at the Securities and Exchange Commission often brings significant changes in regulatory priorities and enforcement approaches. As anticipated in our firm’s EO Watch alert, “Immediate Practical...more
3/25/2025
/ Administrative Appointments ,
Cryptocurrency ,
Executive Orders ,
Financial Markets ,
Financial Regulatory Reform ,
Investment ,
Investment Adviser ,
Proposed Rules ,
Regulatory Agencies ,
Regulatory Agenda ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Trump Administration
Last year, the Securities and Exchange Commission amended its definition of “dealer” to require broker-dealer registration by some persons or entities previously considered securities “traders” not subject to such...more
The SEC recently adopted amendments to its investment company “names” rule that apply to most SEC-registered funds, including underlying funds in which registered insurance company separate accounts invest....more
In Release No. 33-10618 (Mar. 20, 2019), the SEC adopted amendments (the “Amendments”) that consolidate, conform, and otherwise refine numerous requirements applicable to filings with the agency. ...more
4/9/2019
/ Consumer Insurance Products ,
Filing Requirements ,
Financial Regulatory Reform ,
Life Insurance ,
Mutual Funds ,
New Amendments ,
Regulatory Oversight ,
Regulatory Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Variable Annuities
Marketing Private Life Insurance Separate Accounts to Smaller Banks -
Subject to certain exceptions, the so-called “Volcker rule” provisions of the Dodd-Frank Act and regulations thereunder (collectively, the Volcker Rule)...more
10/4/2018
/ BOLI ,
Covered Funds ,
Dodd-Frank ,
Federal Reserve ,
Financial Institutions ,
Financial Regulatory Reform ,
Insurance Industry ,
Insurance Investment Products ,
Investment ,
Life Insurance ,
Regulatory Oversight ,
Regulatory Standards ,
SIFIs ,
Threshold Requirements ,
Volcker Rule