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Securities Products of Insurance Companies in the Course of Regulatory Reform 2015

Chair(s): Joan E. Boros, Jeffrey S. Puretz
Practice Area: Corporate & Securities, Insurance
Published: Jan 2015
ISBN: 9781402423673
PLI Item #: 58730
CHB Spine #: A979

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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Underlying Mutual Funds
Chapter 2. Background Information: A Primer on Insurance Products as Securities
Chapter 3. In the Matter of AXA Equitable Life Insurance Company, Respondent
Chapter 4. Managed Volatility
Chapter 5. Cuomo Administration Announces AXA to Pay DFS $20 Million Fine Over Insurance Violations for Retirement Product: Tens of Thousands of Policies Changed for New Yorkers Potentially Limiting Returns without Adequate Notice to DFS
Chapter 6. Volatility Control: NYS Department of Financial Services Position
Chapter 7. Regulation of Variable Annuity and Variable Life Insurance Products under the Federal Securities Laws
Chapter 8. Pension Developments
Chapter 9. Insurance Bulletin 11-4
Chapter 10. Bulletin 14-02
Chapter 11. Securities Bulletin 11-S-1
Chapter 12. We Need a Politician Like Carter Glass
Chapter 13. Citations to Publications Regarding Suitability and Related Topics
Chapter 14. The Best of Both Worlds: A Fact-Based Analysis of the Legal Obligations of Investment Advisers and Broker-Dealers and a Framework for Enhanced Investor Protection
Chapter 15. Suitability Standards under State Insurance Laws and Regulations: A Worthy Network of Consumer Protection
Chapter 16. A Digest of Reported FINRA Disciplinary Actions Involving Unsuitable Life Insurance, Annuity and Mutual Fund Transactions Between January 2013 and October 2014
Chapter 17. Questions and Answers on Money Market Fund Final Reforms (November 25, 2014)
Index

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