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Securities Compliance Sentinel

Analysis of cutting-edge securities industry issues

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Life Settlements and Fraud

By Ernest Badway on June 26, 2014

A federal court held that life settlements were securities under federal and Illinois law.  As such, certain sellers violated the securities laws when they lied about having done due diligence. …
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Posted in Insurance Agencies, Securities Fraud

Insurance Agencies Need Not Register as BDs

By Ernest Badway on November 19, 2013

The SEC Staff would not recommend enforcement action if insurance agencies enter into insurance networking arrangements with registered broker-dealers for the offer and sale of variable products and make transaction-based…
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Posted in Broker-Dealer Regulation, Insurance Agencies

Securities Compliance Sentinel

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