Variable Insurance Products Advisory Content

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32420

SEC Staff Guidance on Discontinued Variable Insurance Product Contracts

[32420] April 27, 2020 TO: ICI Members Variable Insurance Products Advisory Committee SUBJECTS: Disclosure Variable Insurance Products RE: SEC Staff Guidance on Discontinued Variable Insurance Product Contracts On April 22, 2020, the staff of the SEC Division of Investment Management...
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Memo#
32415

SEC Forms Cross-Divisional COVID-19 Market Monitoring Group

[32415] April 24, 2020 TO: ICI Members SUBJECTS: Audit Committees Compliance Exchange-Traded Funds (ETFs) Fund Governance Investment Advisers Money Market Funds Variable Insurance Products RE: SEC Forms Cross-Divisional COVID-19 Market Monitoring Group The SEC announced today that it...
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Memo#
32406

SEC Extends EDGAR Filing Window on April 29

[32406] April 23, 2020 TO: ICI Members SUBJECTS: Compliance Disclosure Operations Variable Insurance Products RE: SEC Extends EDGAR Filing Window on April 29 The Division of Investment Management recently announced that it will extend the EDGAR filing window on April 29, 2020, from 5...
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Memo#
32387

FINRA Publishes Report on Practices from Reg BI Preparedness Reviews

[32387] April 13, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension...
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Memo#
32377

SEC Adopts Variable Insurance Product Summary Prospectus Rule

[32377] April 9, 2020 TO: ICI Members Investment Company Directors Variable Insurance Products Advisory Committee SUBJECTS: Disclosure Fees and Expenses Investment Advisers Variable Insurance Products RE: SEC Adopts Variable Insurance Product Summary Prospectus Rule The Securities and...
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Memo#
32373

SEC Commissioner Roisman Issues Statement on Agency Rulemaking

[32373] April 9, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers...