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Securities Regulation › Disclosure Requirements › Employee Benefits

Carlton Fields

SEC Staff Updates Guidance on Rate Sheet Supplements to Include Changes to Index Loss Limits in RILAs

Carlton Fields on

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

Carlton Fields

Getting Clued In: How the SEC’s RILA Rulemaking Affects Variable Annuities

Carlton Fields on

The recent rule and form amendments adopted by the SEC to facilitate the registration of registered index-linked annuities (RILAs) and market-value adjustment annuities (MVAs) on Form N-4 have been broadly welcomed by the...more

Morgan Lewis

SEC Disclosure and Taxation of Executive Security Benefits: Legal Requirements and Key Considerations

Morgan Lewis on

Many companies are reevaluating their corporate security practices and considering enhancements to the security protections they provide to their executives and other senior leaders. Companies exploring such security...more

Cadwalader, Wickersham & Taft LLP

Ringing in the New Year – Practical Tips for Public Companies to Implement the New SEC Rule 10b5-1 Trading Plan Rules in Their...

Cadwalader, Wickersham & Taft LLP on

Overview of SEC Final Rules on Rule 10b5-1 Trading Plans - On December 14, 2022, the U.S. Securities and Exchange Commission (“SEC”) unanimously adopted final rules adding new conditions applicable to Rule 10b5-1 trading...more

Herbert Smith Freehills Kramer

SEC Adopts Regulation Best Interest and Related Rules and Interpretations

Herbert Smith Freehills Kramer on

On June 5, 2019, the SEC adopted a package of rules and interpretations (the Adopted Rules) to clarify and further articulate the relationship between retail investors and their broker-dealers or investment advisers....more

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