News & Analysis as of

Broker-Dealer › Working Groups

Carlton Fields

NAIC Annuity Suitability Working Group Issues Guidance on Insurers’ Oversight of Third-Party Supervising Entities

Carlton Fields on

On August 7, 2025, the National Association of Insurance Commissioners’ Annuity Suitability (A) Working Group issued draft safe harbor regulatory guidance with a comment period that ends on September 22, 2025. The draft...more

WilmerHale

De-Centralization and Duplication in Broker-Dealer Regulation

WilmerHale on

In April 2020, the Financial Industry Regulatory Authority and nearly all of the national securities exchanges announced they had formed a Cross-Market Regulation Working Group (CMRWG) to share information and reduce...more

Moore & Van Allen PLLC

SEC Staff Issues Statement on Preparing for Impending LIBOR Transition

Moore & Van Allen PLLC on

On July 12, 2019, the U.S. Securities and Exchange Commission (SEC) joined the call to prepare for the transition away from LIBOR. The staff of several Divisions of the SEC (the Divisions of Corporation Finance (DCF),...more

Jones Day

Mandatory Summer Reading: SEC Staff Issues Rare Joint Statement on LIBOR Transition

Jones Day on

The Situation: The Staffs of the Divisions of Corporation Finance, Investment Management and Trading and Markets ("Divisions") of the U.S. Securities and Exchange Commission ("SEC") and its Office of the Chief Accountant...more

4 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide