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Securities and Exchange Commission (SEC) › Securities Regulation › Retirement

Carlton Fields

2 Across: Changing Financial Product Recommendations

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Artificial intelligence (AI) can and is already changing how firms and registered representatives recommend financial products to customers. AI has the potential to enhance recommendations that registered representatives...more

Carlton Fields

Supreme Court Plays Its Cards on Constitutionality of SEC In-House Court Actions

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The U.S. Supreme Court’s June 2023 decision to grant certiorari in SEC v. Jarkesy called into question the SEC’s ability to pursue penalties and other legal remedies before the SEC’s in-house administrative law judges. If...more

Carlton Fields

SEC Relief for RILA Issuers to Use Statutory Financials: Has the Moratorium Been Lifted?

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Innovative registered index-linked annuity (RILA) contracts have become a permanent fixture in the retirement savings marketplace. RILAs provide investors with a product that offers upside potential with downside protection,...more

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