Searching Content by Ann Began Furman from Carlton Fields 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
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
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
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
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
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
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
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
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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