Securities and Exchange Commission (SEC), Life Insurance, Investment

Expect Focus - Volume II, May 2025

Carlton Fields on 5/8/2025

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

Expect Focus - Volume IlI, September 2024

Carlton Fields on 10/16/2024

Gone With the Wind? Closed-End Funds Risk Extinction - Shares of SEC-registered closed-end funds (CEFs) have long held significant potential advantages for some investors. For example, unlike shares of mutual funds...more

SEC Streamlines Fund of Fund Relief, Requires Life Company ‘Certification’

Carlton Fields on 12/15/2020

The SEC has adopted new Rule 12d1-4 under the Investment Company Act and taken other action “to streamline and enhance the regulatory framework applicable to fund of funds (FOF) arrangements.” This includes FOFs in which life...more

Your Daily Dose of Financial News

Robins Kaplan LLP on 11/1/2018

As promised, the Fed on Wednesday announced “one of the most significant rollbacks of bank rules” since the White House changed hands in the form of a draft proposal that would loosen capital and liquidity requirements for...more

SEC Committee Advocates for Summary Mutual Fund Shareholder Reports

Carlton Fields on 1/16/2018

On December 7, the Investor Advisory Committee of the Securities and Exchange Commission (SEC) adopted a recommendation that the SEC seriously explore the development of a summary disclosure document for mutual fund companies...more

Expect Focus - Volume III - September 2017

Carlton Fields on 10/20/2017

EXPECTFOCUS® is a quarterly review of developments in the insurance and financial services industry, provided on a complimentary basis to clients and friends of Carlton Fields Jorden Burt, P.A. ...more