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Author: Clifford E. Kirsch Publisher: Aspen Publishers ISBN: 9780735501331 Category : Law Languages : en Pages : 2302
Book Description
Since their introduction in the 1950s, variable annuities have had a complicated regulatory history. At first, they were not considered to be a sale of securities, but in 1959 the Supreme Court held that a particular variable annuity contract was a security. From then on, certain variable annuity contracts were considered securities and had to be registerd as such under the Securities Act of 1933. Regulation and Distribution of Variable Insurance Products traces the evolution of variable annuities and addresses issues of current concern to attorneys, bankers, and insurance professionals. The book examines: Which annuity contracts are regulated under the securities laws -- How to comply with regulations of both the SEC and the NASD Broker-dealer issues relating to distribution -- New rules and regulations and other significant developments in this evolving area -- Also the book contains extensive appendix material from statutes and regulations to marketing and advertising materials. If you are involved in the purchase or sale of variable insurance products, make sure you keep this current and concise handbook available for frequent reference.
Author: Clifford E. Kirsch Publisher: Aspen Publishers ISBN: 9780735501331 Category : Law Languages : en Pages : 2302
Book Description
Since their introduction in the 1950s, variable annuities have had a complicated regulatory history. At first, they were not considered to be a sale of securities, but in 1959 the Supreme Court held that a particular variable annuity contract was a security. From then on, certain variable annuity contracts were considered securities and had to be registerd as such under the Securities Act of 1933. Regulation and Distribution of Variable Insurance Products traces the evolution of variable annuities and addresses issues of current concern to attorneys, bankers, and insurance professionals. The book examines: Which annuity contracts are regulated under the securities laws -- How to comply with regulations of both the SEC and the NASD Broker-dealer issues relating to distribution -- New rules and regulations and other significant developments in this evolving area -- Also the book contains extensive appendix material from statutes and regulations to marketing and advertising materials. If you are involved in the purchase or sale of variable insurance products, make sure you keep this current and concise handbook available for frequent reference.
Author: Tamar Frankel Publisher: Wolters Kluwer ISBN: 145487063X Category : Law Languages : en Pages : 4826
Book Description
The Regulation of Money Managers (with the original subtitle: The Investment Company Act and The Investment Advisers Act) was published in 1978 and 1980. The Second Edition, subtitled Mutual Funds and Advisers, was published in 2001 and has been annually updated since then. It is a comprehensive and exhaustive treatise on investment management regulation. The treatise covers federal and state statutes, their legislative history, common law, judicial decisions, rules and regulations of the Securities and Exchange Commission, staff reports, and other publications dealing with investment advisers and investment companies. The treatise touches on other financial institutions such as banks, insurance companies, and pension funds. The work also discusses the economic, business, and theoretical aspects of the investment management industry and their effects on the law and on policy. The treatise contains detailed analysis of the history and development of the Investment Company Act and the Investment Advisers Act. It examines the definitions in the Acts, including the concept of ‘‘investment adviser,’’ ‘‘affiliates,’’ and ‘‘interested persons.’’ It outlines the duties of investment company directors, the independent directors, and other fiduciaries of investment companies. The treatise deals with the SEC’s enforcement powers and private parties’ rights of action.
Author: Pierpaolo Marano Publisher: Springer Nature ISBN: 3030527387 Category : Bank marketing Languages : en Pages : 439
Book Description
This open access volume of the AIDA Europe Research Series on Insurance Law and Regulation offers the first comprehensive legal and regulatory analysis of the Insurance Distribution Directive (IDD). The IDD came into force on 1 October 2018 and regulates the distribution of insurance products in the EU. The book examines the main changes accompanying the IDD and analyses its impact on insurance distributors, i.e., insurance intermediaries and insurance undertakings, as well as the market. Drawing on interrelations between the rules of the Directive and other fields that are relevant to the distribution of insurance products, it explores various topics related to the interpretation of the IDD - e.g. the harmonization achieved under it; its role as a benchmark for national legislators; and its interplay with other regulations and sciences - while also providing an empirical analysis of the standardised pre-contractual information document. Accordingly, the book offers a wealth of valuable insights for academics, regulators, practitioners and students who are interested in issues concerning insurance distribution.--
Author: Publisher: ISBN: Category : Languages : en Pages : 934
Book Description
Archival snapshot of entire looseleaf Code of Massachusetts Regulations held by the Social Law Library of Massachusetts as of January 2020.
Author: Publisher: ISBN: Category : Languages : en Pages : 942
Book Description
Archival snapshot of entire looseleaf Code of Massachusetts Regulations held by the Social Law Library of Massachusetts as of January 2020.
Author: Publisher: ISBN: Category : Languages : en Pages : 928
Book Description
Archival snapshot of entire looseleaf Code of Massachusetts Regulations held by the Social Law Library of Massachusetts as of January 2020.
Author: Publisher: ISBN: Category : Languages : en Pages : 946
Book Description
Archival snapshot of entire looseleaf Code of Massachusetts Regulations held by the Social Law Library of Massachusetts as of January 2020.
Author: United States. Congress. House. Committee on Banking, Finance, and Urban Affairs. Subcommittee on Financial Institutions Supervision, Regulation and Insurance Publisher: ISBN: Category : Banks and banking Languages : en Pages : 444
Author: Clifford E. Kirsch
Author: Clifford E. Kirsch
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Author: Tamar Frankel
Author: Pierpaolo Marano
Author: United States. Congress. House. Committee on Financial Services
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Author: United States. Congress. House. Committee on Banking, Finance, and Urban Affairs. Subcommittee on Financial Institutions Supervision, Regulation and Insurance