Free Legal Documents and Articles by Eric A Arnold

NAIC Indexed Universal Life Illustration Subgroup solicits comment on options to revise Actuarial Guideline 49-A and to open NAIC Life Insurance Illustrations Model Regulation (#582) to revision
October 20, 2022
LEGAL ALERTS/ARTICLES
Author: Maureen Emmert Adolf, Eric A. Arnold, Ronald David Coenen, Stephen E Roth, Scott Harris Rothstein
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Compliance Tips: Broker-Dealer and Adviser Use of Personal Devices
October 17, 2022
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Ethan D. Corey, Susan Schmidt Krawczyk, Gerald Thomas Lins, Angela C. Montez, Andrew T Mount, Adam Cross Pollet, Brian Lloyd Rubin, Charles B. Schmidt, John H. Walsh
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

The emerging patchwork of fiduciary investment advice regulation – Putting the pieces together (update)
April 15, 2020
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Wilson Gray Barmeyer, Olga Greenberg, Issa Jesse Hanna, Clifford Evan Kirsch, Pooja Kohli, Susan Schmidt Krawczyk, Ben Tobey Marzouk, Carol Terpstra McClarnon, S. Lawrence Polk, Stephen E. Roth, Brian L. Rubin, Sarah Razaq Sallis, Alex R. Shockley, Cynthia R. Shoss, Holly H. Smith, W. Mark Smith
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

SEC relief for advisers impacted by COVID-19
March 14, 2020
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Issa Jesse Hanna, Susan Schmidt Krawczyk, Ben Tobey Marzouk, Alexa Shockley, Holly H Smith, John H. Walsh
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

US Cybersecurity and Data Privacy review and update: Looking back on 2019 and planning ahead for 2020
February 04, 2020
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Emily Ann Bork, Brenna M. Clark, Brittany Leigh Edwards-Franklin, Amanda R. Giffin, Mark D Herlach, Kymberly Kochis, Pooja Kohli, Sarah Elizabeth Paul, S. Lawrence Polk, Brian L. Rubin, Alexander F.L Sand, Ian S. Shelton, Katie L. Sint, Philip E. Stano, Michael Steinig, Lewis S. Wiener, Mary Jane Wilson-Bilik, Ronald W. Zdrojeski, H Karl Zeswitz, John Allen Zumpetta
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

NAIC 2019 Fall National Meeting
December 26, 2019
LEGAL ALERTS/ARTICLES
Author: Maureen Emmert Adolf, Eric A. Arnold, Kevin Finnegan, Mary Jane Wilson-Bilik, John Sanders Pruitt, Alexander F.L Sand, Cynthia R. Shoss, Eric A. Stephen, John Allen Zumpetta
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Legal Alert: SEC Approves Investment Advice Standard of Conduct Rules
June 05, 2019
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Issa Jesse Hanna, Ben Tobey Marzouk, Holly H. Smith, John H. Walsh
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

FINRA’s 529 Plan Share Class Initiative
February 07, 2019
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Cynthia Reid Beyea, Ronald David Coenen, Michael Bennett Koffler, Brian Lloyd Rubin, Rebekah R. Runyon, Sarah Razaq Sallis, Holly H. Smith, Amber S. Unwala, John H. Walsh
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

The SEC’s Litigation against a Firm for Allegedly Inadequate Disclosure of Shareholder Service Fees and 12b-1 Fees
January 28, 2019
LEGAL ALERTS/ARTICLES
Author: Peter J. Anderson, Eric A. Arnold, Patricia A Gorham, Olga Greenberg, Clifford Evan Kirsch, Michael Bennett Koffler, Susan Schmidt Krawczyk, Neil S. Lang, S. Lawrence Polk, Amelia Toy Rudolph, Sarah Razaq Sallis, Holly H. Smith, Scott Sorrels, Amber S. Unwala, John H. Walsh
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Standards of Conduct for Investment Professionals – Overlapping Protections for Broker-Dealer Retirement Customers
October 22, 2018
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Wilson Gray Barmeyer, Olga Greenberg, Clifford Evan Kirsch, Carol Terpstra McClarnon, S. Lawrence Polk
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

The Final Rule: Next Steps After Vacatur
April 12, 2018
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Katherine Meyers Cohen, Thomas William Curvin, Olga Greenberg, Dodie C. Kent, Clifford Evan Kirsch, Michael Bennett Koffler, Ben Tobey Marzouk, S. Lawrence Polk, Stephen E Roth, Vanessa A. Scott, Cynthia R. Shoss, Phillip E. Stano, Steuart H. Thomsen, Gail L. Westover, Allison E. Wielobob, Mary Jane Wilson-Bilik
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

The Final Rule: DOL Fiduciary Rule Affirmed and Revoked
March 26, 2018
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Wilson Gray Barmeyer, Katherine Meyers Cohen, Thomas William Curvin, Olga Greenberg, Clifford Evan Kirsch, Michael Bennett Koffler, Ben Tobey Marzouk, S. Lawrence Polk, Stephen E Roth, Brian Lloyd Rubin, Vanessa A. Scott, Cynthia R. Shoss, Holly H. Smith, W. Mark Smith, Phillip E. Stano, Steuart H. Thomsen, Gail L. Westover, Allison E. Wielobob, Mary Jane Wilson-Bilik
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Highlights from the SIFMA AML and Financial Crimes Conference
February 28, 2018
LEGAL ALERTS/ARTICLES
Author: Peter J. Anderson, Eric A. Arnold, Bruce Michael Bettigole, Patricia A Gorham, Olga Greenberg, Clifford Evan Kirsch, Neil S. Lang, S. Lawrence Polk, Brian Lloyd Rubin, Amelia Toy Rudolph, Holly H. Smith, Scott Sorrels, John H. Walsh
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

The Final Rule: Considerations and Analysis of the DOL’s 18-Month Transition Period Extension
November 29, 2017
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Wilson Gray Barmeyer, Bruce Michael Bettigole, Nicholas T Christakos, N. Jerold Cohen, Thomas William Curvin, Olga Greenberg, Carol Terpstra McClarnon, S. Lawrence Polk, Stephen E Roth, Brian Lloyd Rubin, Vanessa A. Scott, Cynthia R. Shoss, Holly H. Smith, W. Mark Smith, Phillip E. Stano, Steuart H. Thomsen, Gail L. Westover, Allison E. Wielobob, Mary Jane Wilson-Bilik
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

FINRA Holds Regulator Forum on Distributed Ledger Technology
July 20, 2017
LEGAL ALERTS/ARTICLES
Author: Bria M. Adams, Eric A. Arnold, Michael Bahar, Issa Jesse Hanna, Clifford Evan Kirsch, Michael Bennett Koffler, Susan Schmidt Krawczyk, Ben Tobey Marzouk, Alexander Fendall Littlepage Sand, Holly H Smith, John H. Walsh, Mary Jane Wilson-Bilik
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

NYDFS Makes Inquiry into Life Insurers’ Use of Algorithmic Underwriting
July 19, 2017
LEGAL ALERTS/ARTICLES
Author: Maureen Emmert Adolf, Eric A. Arnold, Michael Bahar, David Charles Hancock, Steve Herbert, John Sanders Pruitt, Stephen E Roth, Alexander Fendall Littlepage Sand, Cynthia R Shoss, Mary Jane Wilson-Bilik
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

FCRA Violations Lead to Record-Breaking $60 Million Verdict
June 30, 2017
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Michael Bahar, David Charles Hancock, Trevor J. Satnick, Mary Jane Wilson-Bilik
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

SEC Staff Provides Guidance on Disclosure of Sales Load Variations and Filing of New Share Classes in Light of the DOL Fiduciary Rule
January 06, 2017
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Frederick R Bellamy, Cynthia Reid Beyea, Thomas Edward Bisset, Steven B Boehm
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

NAIC Adopts Revisions to Actuarial Guideline 49
December 19, 2016
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Frederick R Bellamy, Thomas Edward Bisset, Dodie C. Kent, Clifford Evan Kirsch
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

NAIC Life Actuarial (A) Task Force Approves Revisions to Actuarial Guideline 49 for Exposure and Comment
October 27, 2016
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Frederick R Bellamy, Thomas Edward Bisset, Dodie C. Kent, Clifford Evan Kirsch
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

SEC Adopts Changes to Form ADV and Books and Records Rules
September 19, 2016
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Clifford Evan Kirsch, Michael Bennett Koffler, Susan Schmidt Krawczyk, Holly H Smith
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Don’t Hail the CAB - Why FINRA’s Capital Acquisition Broker Rule Set Will Not Get Private Funds to their Destination
August 30, 2016
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Clifford Evan Kirsch, Michael Bennett Koffler, Susan Schmidt Krawczyk, Yasho Lahiri
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

NAIC Life Insurance and Annuities (A) Committee Adopts Revisions to Actuarial Guideline 49
August 01, 2016
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Frederick R Bellamy, Thomas Edward Bisset, Dodie C. Kent, Clifford Evan Kirsch
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

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