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Searching Content by Ann Began Furman ordered by Published Date Descending.
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Executive Compensation Disclosure – Partial Relief For Insurance Products
For many years, insurance company issuers of non-variable products that are registered with the SEC on Forms S-1 or S-3 have been required to disclose compensation information about highly-compensated executive officers of the issuer.
United States
21 Dec 2018
2
FINRA Proposes To Ease Regulation Of Outside Business Activities
The new rule would require supervision by member firms in two situations.
United States
9 Jul 2018
3
FINRA Requires Order Taker Registration
In late 2017, FINRA pronounced in Regulatory Notice 17-30 that, "Beginning on October 1, 2018, unregistered persons cannot accept an order from a customer under any circumstances.
United States
6 Apr 2018
4
Nevada Securities Act Amendments - What's Next?
Loss resulting from a financial planner's advice subjects a financial planner to fiduciary duty liability.
United States
13 Oct 2017
5
FINRA Fines Firms For WORM Problems
Broker-dealers, including principal underwriters of insurance products, may retain required records in electronic format, subject to satisfaction of longstanding conditions.
United States
11 Apr 2017
6
Back to the Future: 2017 [Expect Focus Life Insurance – December 2016]
Back to the Future: 2017 [Expect Focus Life Insurance – December 2016].
United States
30 Jan 2017
7
FINRA Fines Firms For Not Supervising L-Share Annuity Sales
For two years FINRA has made sales and marketing of L-Share variable annuities (VAs) a regulatory and examination priority.
United States
5 Jan 2017
8
FINRA To Overhaul Gifts, Non-Cash Compensation, And Business Entertainment Rules
FINRA proposes to increase the gift limit in Rule 3220 from $100 to $175 per person per year and include a de minimis $50 threshold below which firms need not keep records of gifts given or received.
United States
7 Nov 2016
9
Regulatory Musical Chairs For Money
The SEC and FINRA continue to play musical chairs with staff resources allocated to examinations of investment advisers and broker-dealers.
United States
20 Jul 2016
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