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Insurance Industry › Life Insurance › No-Action Letters

Eversheds Sutherland (US) LLP

SEC grants no-action relief to delay payment from variable insurance contracts to protect vulnerable adults in cases of suspected...

Eversheds Sutherland (US) LLP on

Recently, in response to a request from the Committee of Annuity Insurers, the staff in the Chief Counsel's Office of the Securities and Exchange Commission's (SEC) Division of Investment Management issued a no-action letter...more

Carlton Fields

Broker-Dealers Can Hold Customers’ Initial Checks

Carlton Fields on

A recent SEC no-action letter gives broker-dealers more time to perform suitability and other reviews when opening certain customer accounts. The firms requesting the letter were affiliated with three different insurance...more

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