Tag: Broker/Dealer

Insurance Executives on the Evolving Retirement Landscape

Leaders at CUNA Mutual Group and Allianz Life speak about the prospects for legislative and regulatory progress in 2022, especially when it comes to the broader distribution of annuity products to retirement plan investors.

What to Expect From a Biden Appointee-Led SEC

A former Securities and Exchange Commission litigator who was at the regulator during the transition from the Clinton administration to the Bush administration considers what might happen when Democratic President-elect Joe Biden takes office.

Former SEC Enforcer Reviews Regulator’s 2019 Agenda

During a webcast hosted by ACA Compliance Group, Allison Charley, a former SEC examinations office leader, explained the regulator’s internal process for picking audit targets; other speakers noted the SEC’s increased focus on suitability issues and cybersecurity.

State-Based Fiduciary Regulations Take Shape in 2019

Regulators and legislators in a growing number of states say they are acting to fill a perceived void created by federal government disengagement; just last week, a long-awaited Nevada proposal was made public.