Financial Services Articles | Page 5 of 5

SEC final rule: Use of derivatives by registered investment companies and business development companies

New SEC rule 18f-4 will permit funds to enter into derivative transactions if they comply with certain conditions designed to...

Jennifer Froberg - Sr SEC Product Specialist

March 23, 2021

2020 retrospective: Key 1940 Act regulations for investment management and insurance companies

We certainly won’t see an end to new rule-making as the industry and regulators are under pressure to adapt to...

Toppan Merrill

January 21, 2021

SEC adopts fund of funds arrangements rule

Currently, Funds must obtain an SEC exemptive order to acquire shares of another Fund in excess of SEC limits. The...

Toppan Merrill

November 17, 2020

Inline XBRL insight for mutual funds and variable contracts

The deadlines for financial services providers to start filing certain disclosures in iXBRL format has been in effect for Large...

Toppan Merrill

October 9, 2020

VA/VUL Rule 498A becomes effective July 1, 2020

SEC Rule 498A impact on variable annuity / variable universal life companies

The Securities and Exchange Commission adopted Rule 498A, including form amendments, which intends to modernize disclosure requirements and allow investors...

Toppan Merrill

July 26, 2020

FAST Act modernization rule: Highlights for investment companies

On May 2, 2019 the SEC Fixing America’s Surface Transportation Act (FAST Act) Modernization Rule became effective. While most of...

Toppan Merrill

March 29, 2019

SEC Rule 30e-3 is now effective

As of January 1, 2019, Rule 30e-3 officially became effective. Rule 30e-3 creates an optional “notice and access” method for...

Toppan Merrill

January 18, 2019

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Articles

SEC final rule: Use of derivatives by registered investment companies and business development companies

2020 retrospective: Key 1940 Act regulations for investment management and insurance companies

SEC adopts fund of funds arrangements rule

Inline XBRL insight for mutual funds and variable contracts

SEC Rule 498A impact on variable annuity / variable universal life companies

FAST Act modernization rule: Highlights for investment companies

SEC Rule 30e-3 is now effective