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RILA Re-Form: Statement On Registration For Index-Linked Annuities And Registered Market-Value Adjustment Annuities - Amendments To Form N-4 For Index-Linked Annuities, Registered Market-Value Adjustment Annuities, And Variable Annuities, SEC Commissioner Hester M. Peirce, July 1, 2024
Date 01/07/2024
In the last few years, the Commission’s staff has often had to complete rulemakings on tight deadlines. Even with aggressive time constraints, the staff succeeded admirably in meeting the congressional mandate to provide a tailored form to register the offerings of registered index-linked annuities (“RILAs”). I support the Commission’s general approach to implementing the congressional mandate but would have preferred a more merits-neutral approach and a greater focus on facilitating the use of creative disclosure techniques to foster deeper investor understanding.
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CFTC Announces Supervisory Stress Test Results
Date 01/07/2024
The Commodity Futures Trading Commission today issued Supervisory Stress Test of Derivatives Clearing Organizations: Reverse Stress Test Analysis and Results, a report detailing the results of its fourth Supervisory Stress Test (SST) of derivatives clearing organization (DCO) resources. Among other findings, the 2024 report concluded the DCOs studied hold sufficient financial resources to withstand many extreme and often implausible price shocks.
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MIAX Exchange Group - Notice To Exchange Members ISG CMRWG 2024-01
Date 01/07/2024
The MIAX Exchange Group is issuing this regulatory alert to remind MIAX Exchange Group Members of the existence and role of the Cross Market Regulation Working Group (“CMRWG”), which was established under the U.S. Subgroup of the Intermarket Surveillance Group (“ISG”) to focus on ways to reduce unnecessary regulatory duplication.
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SEC Charges Silvergate Capital, Former CEO For Misleading Investors About Compliance Program, Former Chief Risk Officer And Former CFO Also Charged For Misleading Investors
Date 01/07/2024
The Securities and Exchange Commission today charged Silvergate Capital Corporation, its former CEO Alan Lane, and former Chief Risk Officer (CRO) Kathleen Fraher with misleading investors about the strength of the Bank Secrecy Act/Anti-Money Laundering (BSA/AML) compliance program and the monitoring of crypto customers, including FTX, by Silvergate’s wholly owned subsidiary, Silvergate Bank. The SEC also charged Silvergate and its former Chief Financial Officer, Antonio Martino, with misleading investors about the company’s losses from expected securities sales following FTX’s collapse. All parties charged, aside from Martino, have agreed to settle the SEC’s charges.
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Statement On RILAs And Registered MVA Annuities, SEC Chair Gary Gensler
Date 01/07/2024
Today, the Commission adopted amendments to provide a tailored form to register the offerings of registered index-linked annuities (“RILAs”) and registered market value adjustment annuities (“registered MVA annuities”). I am pleased to support this adoption because it fulfills the congressional mandate to adopt a registration form specific to RILAs.
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US Office Of The Comptroller Of The Currency Releases CRA Evaluations For 21 National Banks And Federal Savings Associations
Date 01/07/2024
The Office of the Comptroller of the Currency (OCC) today released a list of Community Reinvestment Act (CRA) performance evaluations that became public during the period of June 1, 2024, through June 30, 2024. The list contains only national banks, federal savings associations, and insured federal branches of foreign banks that have received ratings. The possible ratings are outstanding, satisfactory, needs to improve, and substantial noncompliance.
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ISDA Proceeds With Development Of An Industry Notices Hub
Date 01/07/2024
ISDA will proceed with the development of an industry-wide notices hub, following strong support from buy- and sell-side institutions globally. The new online platform will allow instantaneous delivery and receipt of critical termination-related notices and help to ensure address details for physical delivery are up to date, reducing the risk of uncertainty and potential losses for senders and recipients of these notices.
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NSE Indices Fixed Income Index Dashboard For The Month Ended June 2024
Date 01/07/2024
Click here to download the ' Fixed Income Index Dashboard' for the month ended June 2024.
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SEC Adopts Tailored Registration Form For Offerings Of Registered Index-Linked And Registered Market-Value Adjustment Annuities
Date 01/07/2024
The Securities and Exchange Commission today adopted tailored disclosure requirements and offering processes for offerings of registered index-linked annuities (RILAs) and registered market value adjustment annuities (registered MVA annuities, and collectively with RILAs, non-variable annuities). The final rule will require issuers of non-variable annuities to register offerings on Form N-4, the form currently used to register offerings of most variable annuities. This change will provide investors with tailored disclosures and key information about these complex products and modernize and enhance the registration, filing, and disclosure framework for non-variable annuities.
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NGX Reveals Results Of Half-Year Review Of Market Indices
Date 01/07/2024
Nigerian Exchange Limited (“NGX” or “The Exchange”), the sustainable exchange championing the development of Africa’s largest economy, has announced the results of its full year market index review for the followingS indices – NGX 30; NGX Lotus Islamic; NGX Pension; NGX Pension Broad Index; Corporate Governance Index; Afrinvest Bank Value Index; Afrinvest Dividend Yield Index; Meristem Growth Index; Meristem Value Index; and the five Sectoral Indices of The Exchange - NGX Banking, NGX Insurance, NGX Industrial, NGX Consumer Goods and NGX Oil & Gas.
