Skip to Content

SEC Reforms Investment Advisers Act Regulation of Marketing Practices

Wed 30 Dec, 2020  /  by C. Dirk Peterson   /   Client Alerts

DOWNLOAD PDF Updated: March 26, 2021 New Rule 206(4)-1 – Adviser Marketing Introduction The Securities and Exchange Commission (“SEC” or “Commission”) delivered on highly anticipated regulatory reforms relevant to the marketing practices of investment advisers registered pursuant to, and regulated by, the Investment Advisers Act of 1940 (“Advisers Act”). The […]


The SEC Proposes a Limited Exemption to deregulate Capital Raising Efforts

Wed 14 Oct, 2020  /  by C. Dirk Peterson   /   Securities Regulation

In a nod to both Wall Street and Main Street, the SEC recently proposed an order to deregulate certain capital-raising efforts for private issuers. The proposal prescribes conditions to permit natural-person finders to raise capital for issuers absent the finder submitting to the substantive broker-dealer registration and regulatory regime prescribed […]


What Small and Bank-Affiliated Insurance Entities Need to Know About State Exemptions from Insurance Data Security Laws

Sat 10 Oct, 2020  /  by Chrys Lemon, Arshawn Teymoorian, and Jeff Klein   /   Client Alerts

DOWNLOAD PDF On October 24, 2017, the National Association of Insurance Commissioners (“NAIC”)1 adopted Model Law No. 668, the Insurance Data Security Model Law (the “Model Law”).2 Generally speaking, the Model Law requires entities regulated by state insurance departments to develop and implement an Information Security Program (“ISP”) to protect […]


McIntyre & Lemon is proud to announce that it has taken over the annual updates for the treatise Insurance Activities of Banks by Karol Sparks.

Fri 04 Oct, 2019  /  by Karol Sparks  /   Announcements

McIntyre & Lemon is proud to announce that it has taken over the annual updates for the treatise Insurance Activities of Banks by Karol Sparks. McIntyre & Lemon has been a long time contributor to the treatise and is the author of Chapter 14, “Debt Cancellation Products.”  McIntyre & Lemon would like to thank Ms. […]


Chrys Lemon to discuss vendor management, Bank Secrecy Act, and incentive compensation at 2019 ABA Insurance Distribution Exchange

Sun 01 Sep, 2019  /  by Chrys Lemon  /   Speaking Engagements

Chrys Lemon will be speaking at the American Bankers Association Insurance Distribution Exchange, the only national event devoted exclusively to the sale of insurance products and annuities by banks, in Austin, Texas on September 22-25, 2019. Topics of discussion include third party oversight and vendor management, the Bank Secrecy Act, incentive […]