Securities and Exchange Commission October 2023 – Federal Register Recent Federal Regulation Documents
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List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
The Regulatory Flexibility Act (``RFA'') requires an agency to publish in the Federal Register, each year, a list of rules that are to be reviewed in accordance with the RFA during the succeeding 12 months. Based upon its review of rules potentially subject to review under the RFA during the succeeding 12 months, the Securities and Exchange Commission (``Commission'') has determined that no such rules are required to be reviewed. Accordingly, the agency is not publishing a list of rules to be reviewed pursuant to the RFA during the succeeding 12 months.
Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
The Securities and Exchange Commission (``Commission'') is proposing rule and form amendments to provide a tailored form to register the offerings of registered index-linked annuities (``RILAs''). Specifically, the Commission is proposing to amend the form currently used by most variable annuity separate accounts, Form N- 4, to require issuers of RILAs to register offerings on that form as well. To facilitate this amendment, the Commission is also proposing to amend certain filing rules and make other related amendments. These changes would, if adopted, implement the requirements relating to RILAs contained in Division AA, Title I of the Consolidated Appropriations Act, 2023. Further, the Commission is proposing other amendments to Form N-4 that would apply to all issuers that would use that form under the proposal. The Commission is also proposing to apply to RILA advertisements and sales literature a current Commission rule that provides guidance as to when sales literature is materially misleading under the Federal securities laws. The Commission is proposing a technical amendment to Form N-6 to correct an error from a prior Commission rulemaking. Finally, the Commission requests comment as to whether to require the registration of market-value adjustments associated with certain annuities on Form N-4 as well.
Investment Company Names
The Securities and Exchange Commission (``Commission'') is amending the rule under the Investment Company Act of 1940 (``Investment Company Act'' or ``Act'') that addresses certain broad categories of investment company names that are likely to mislead investors about an investment company's investments and risks. The amendments to this rule are designed to increase investor protection by improving, and broadening the scope of, the requirement for certain funds to adopt a policy to invest at least 80 percent of the value of their assets in accordance with the investment focus that the fund's name suggests, updating the rule's notice requirements, and establishing recordkeeping requirements. The Commission is also adopting enhanced prospectus disclosure requirements for terminology used in fund names, and additional requirements for funds to report information on Form N-PORT regarding compliance with the names-related regulatory requirements.
Public Availability of the Securities and Exchange Commission's Fiscal Year (FY) 2020 Service Contract Inventory
In accordance with section 743 of division C of the Consolidated Appropriations Act of 2010, the SEC is publishing this notice to advise the public of the availability of the FY2020 Service Contract Inventory (SCI) along with the FY2021 SCI Planned Analysis.
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