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Kenneth Ehrlich presents a legal and regulatory update at Massachusetts Bankers Association program

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Kenneth Ehrlich, co-chair of the firm’s Banking and Financial Services practice group, presented at a Massachusetts Bankers Association program entitled “The Future of Bank Insurance and Investment Sales” on January 16. Ken’s presentation provided a legal and regulatory update on the following:

  • Reg. R, the SEC's and Federal Reserve's recently issued rule implementing the broker-dealer "push-out" provisions of the Gramm-Leach-Bliley Act
  • FINRA's Rule 2821 on deferred variable annuities, and recent action delaying the effective date of the rule's provisions requiring registered principals to review and approve sales recommendations
  • The status of optional federal insurance charter legislation that has been proposed in Congress
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