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NAIC › Broker-Dealer › Regulation BI

Faegre Drinker Biddle & Reath LLP

The New Fiduciary Rule (47): Recommendations to Transfer IRAs (SEC)

Faegre Drinker Biddle & Reath LLP on

The stay of the effective dates of the amended fiduciary regulation and amended exemptions means that the “old” DOL fiduciary regulation (the 5-part test) and the existing exemptions continue in effect indefinitely. As a...more

Eversheds Sutherland (US) LLP

Videocast: Asset management regulation in 2020 videocast series – The annuity regulatory landscape

Eversheds Sutherland (US) LLP on

In this Bottom Line videocast, Dodie Kent and Clifford Kirsch discuss: The continued emergence of registered index linked annuity products. The NAIC’s amended Suitability Rule. The SEC’s variable product summary prospectus...more

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