Regulatory Compliance Challenges in Variable Annuities
Explore the challenges of regulatory compliance for variable annuities, highlighting recent FINRA investigations and the importance of supervisory systems in the industry.
Understanding Fees in Financial Advisory Services for Investors
Learn about the fees in financial advisory services, their impact on investments, and how to navigate hidden costs. Understanding advisor compensation is key.
SEC Reviews Crypto ETF Rules Amid Growth in Structured Products Market
The SEC is evaluating Nasdaq's request to ease option trading rules on crypto ETFs amid expanding structured products markets, alongside new US and global product launches and regulatory updates.
Federal Appeals Court Classifies Fractional Life Insurance Policies as Securities
The Ninth Circuit ruled fractional interests in life insurance policies are securities, raising compliance requirements for wealth managers and advisors in the U.S.
Advisor Jeffrey Cutter Appeals SEC Case Ruling on Insurance Commission Disclosures
Jeffrey Cutter appeals SEC ruling on insurance commission disclosure, challenging regulatory requirements under the Investment Advisers Act and McCarran-Ferguson Act limitations.
Massachusetts Jury Finds Mixed Violations in Annuity Sales Case Against Advisor
Massachusetts jury delivers mixed verdict in SEC case against Jeffrey Cutter for annuity sales violations under the Investment Advisers Act. Highlights fiduciary duty and disclosure compliance issues.
New Jersey Adopt Best-Interest Annuity Standards as 50th State
New Jersey completes nationwide adoption of NAIC best-interest annuity standards, aligning state and federal regulations on insurance producer obligations and consumer protections.