The Committee of Annuity Insurers > News & Memoranda

News & Memoranda

News & Memoranda

The Committee provides the latest Washington information and developments on both tax and securities issues of importance to annuity issuers.


Latest

CAI (ES) Comment Letter on Illustrations Working Group Exposure (Filed on 11.10.26) 11/10/2026
CAI Letter on Direct Rollover Guidance 10/23/2026
CAI and ACLI letter to IRS re Savers Match 10/05/2026
CAI (ES) Comment Letter on File No. SR-FINRA-2026-018; Release No. 34-106275 09/30/2026
CAI (ES) Comment Letter on the AI Risk Evaluation Supplement (Version 5.0) 09/29/2026
CAI (ES) Comment Letter and Redline of NAIC Full Draft of Revised Model 672 09/22/2026
CAI (ES) Comment Letter on Electronic Delivery of Information Under the Federal Securities Laws 09/21/2026
CAI (ES) Comment Letter on Regulatory Notice 26-14 09/11/2026
CAI (ES) Comment Letter on Life-Insurance-and-Annuities-Illustrations 07/17/2026
CAI letter to IRS commenting on Notice 2026-4 regarding electronic payee statements 06/15/2026
CAI letter to DOL commenting on investment selection proposal 06/01/2026
CAI letter to IRS regarding 2026-2027 Priority Guidance Plan 05/27/2026
CAI (ES) Comment Letter on Update-FINRA-Remote-Office 05/25/2026
CAI (ES) Comment Letter re Proposed Amendments to Definitions for Small Entities (File S7-2026-01) 03/10/2026
CAI (ES) Comment Letter on Risk-Based Regulatory Framework for Third-Party Data and Model Vendors 02/06/2026
CAI (ES) Comment-Letter - FINRAs-Proposed-Change-to-FINRA-Rule-3220 10/08/2025
CAI Letter re Committee of Annuity Insurers Guidance Request Under SECURE 1.0 and 2.0 10/06/2025
CAI Letter re Box 8 and Code Y on 2025 Form 1099R 09/18/2025
CAI and ACLI letter re Harris Trust Transition Policies 07/29/2025
CAI (ES) Comment-Letter-on-NAIC-PPWG-Exposure-of-Revised-Article-V-of-Model-672-Chairs 06/18/2025
PGP letter 2025 05/30/2025
CAI and ACLI letter re Code Y on 1099R 04/22/2025
CAI (ES) Comment-Letter-on-Proposed-CCPA-Regulations 02/19/2025
CAI and ACLI letter on Notice 2024-65 re Savers Match 11/04/2024
CAI 2024 RMD Hearing Letter 10/18/2024
CAI Notice 2024-55 Letter 10/07/2024
CAI 2024 RMD Comment Letter 09/17/2024
CAI comments on DOL fiduciary rule proposal 2023 01/02/2024
CAI (ES) Comment-Letter-on-SEC-RILA-Rulemaking 11/28/2023
CAI (ES) Comment-Letter-AI-Use-by-Broker-Dealers-and-Investment-Advisers 10/10/2023
CAI Comments on Notice 2023-43 08/23/2023
News Release on 2022 Survey of Owners of Individual Annuity Contracts 08/23/2023
CAI (ES) Comment-Letter-on-Comments on Revised Proposed Second Amendment to 23 NYCRR 500 08/14/2023
CAI (ES) Comment-Letter-on-Revised-Proposed-Updates-to-New-York-Cyber-Rule 08/14/2023
CAI (ES) Comment-Letter-Submitted-on-Revised-Draft-of-Proposed-Model-Law-674 07/28/2023
Supplemental 2.0 Guidance Letter 07/21/2023
Committee of Annuity Insurers 2023-2024 PGP Comment Letter 06/09/2023
CAI (ES) Comment Letter on Safeguarding Advisory Client Assets 05/08/2023
CAI (ES) Comment-Letter-filed-re-SEC-Advisers-Act-Custody-Rule-Proposal 05/08/2023
Joint Trades Letter to FIO 03/08/2023
CAI Joint ACLI (ES) Comment-Letter-on-SEC-Swing-Pricing-Hard-Close-Proposal 02/14/2023
CAI letter re SECURE 2.0 Act implementation 01/31/2023
CAI (ES) Comment-Letter-on-NYDFS-Proposed-Amendments-to-its-Cybersecurity-Rule 01/09/2023
Joint Trades Letter re Form W-4P/W-4R 08/22/2022
CAI (ES) Comment Letter on SEC Names Rule Amendments 08/16/2022
2022 RMD Comment Letter 05/25/2022
CAI (ES) Comment-Letter-on-Proposed-4th-Amendment-to-NY-Reg 05/13/2022
CAI (ES) Comment Letter on Regulatory-Notice-22-08-Complex-Products 05/09/2022
CAI (ES) Comment-Letter-on-Proposed-SEC-Cybersecurity-Risk-Management-Rule 04/11/2022
Joint Trades Letter on SECURE Act Deadlines 03/25/2022
Joint ACLI-and-CAI-(ES) Comment-Letter-to-ILVA-Subgroup 01/27/2022
CAI (ES) Comment-Letter-on-SECs-Fall-2021-Regulatory-Agenda 01/25/2022
CAI (ES) Comment-Letter-in-Response-to-File-No.-S7-19-2 Electronic Recordkeeping Requirements 01/03/2022
CAI (ES) Comment Letter on Request for Information and Comments on Broker-Dealer & Investment Adviser 10/01/2021
Committee Letter to Treasury Department on draft 2022 Forms W-4P and W-4R 07/29/2021
CAI (ES) Comment-Letter-Proposed-Changes-to-FINRA-Rule-2165 07/19/2021
CAI (ES) Comment Letter - FINRA Regulatory Notice 21-17 06/28/2021
Committee Comment Letter on Rev Rul 2020-24 05/14/2021
Committee Comment Letter of Support for SSRA 2021 05/03/2021
Committee Comment Letter to Treasury re Forms W-4P and W-4R 04/26/2021
CAI Joint-Trades (ES)-Comment-Letter-on-NAIC-Annuity-Suitability-FAQ 01/29/2021
CAI (ES) Comment Letter on Mutual Fund Reports Disclosure Reform 12/22/2020
CAI (ES) Comment Letter on Proposed Amendments to its Financial Exploitation Rule 12/04/2020
Committee Comment Letter on RIN 1210-AB20 (11.17.20) 11/17/2020
CAI Joint Trades (ES) Comment Letter on Proposing Modernized SEC E-Delivery Framework 10/23/2020
CAI Joint Trades (ES) Comment Letter on NAIC FAQ on Suitability Rule 1 10/02/2020
Committee Comment Letter on Form W-4P 08/28/2020
Committee Comment Letter to Treasury Department and IRS re LRMs 08/12/2020
Committee Comment Letter re Fiduciary Rule (8.6.20) 08/06/2020
Comment Comment Letter on the Proposed Regulations under Code Section 3405 07/27/2020
Committee Comment Letter on 3405 Pension Withholding Regs 07/27/2020
Committee Comment Letter on IRS/Treasury 2020-21 Priority Guidance 07/22/2020
CAI (ES) Joint Trades Letter Supporting the Registration for Index Linked Annuities (RILAs) 06/08/2020
CAI (ES) Comment Letter on Recent SEC Requests regarding Improving Access to Capital in Private Markets 05/06/2020
CAI (ES) Comment Letter on Recent SEC Requests regarding Fund Names 05/05/2020
CAI (ES) Comment Letter on FINRAs Proposed Revisions to Non-Cash Compensation Rules 04/15/2020
Committee Comment Letter on RMD Table Hearing 03/27/2020
Committee Comment Letter on NPRM updating RMD mortality tables 01/07/2020
Committee Comment Letter re SECURE Act Implementation 12/31/2019
CAI (ES) Joint-Trades-Comment-Letter-on-the-Exposure-Draft-of-the-Suitability-in-Annuity-Transactions-Model-Regulation 11/26/2019
CAI (ES) Comment Letter on Modernization of Regulation S-K Items 101, 103 and 105 10/22/2019
CAI (ES) Comment Letter on FINRA Requests on Comment on Rules and Issues Relating to Senior Investors 10/08/2019
CAI (ES) Comment-Letter-on-FINRA-RN-19-27 10/08/2019
CAI (ES) Joint Trade Comment Letter on Suitability in Annuity Transactions Model Regulation 10/01/2019
CAI (ES) Comment-Letter-to-the-Massachusetts Securities Division on Fiduciary Conduct Standard 07/26/2019
CAI (ES) -Joint-Trades Comment Letter on Request for Comments re Best Interest Standard of Conduct in Annuity Transactions 07/12/2019
Committee Letter on IRS/Treasury 2019-20 Priority Guidance 06/07/2019
CAI (ES) Comment-Letter-on-FINRA-Prop...r-Non-Variable-Insurance-Contracts 05/21/2019
CAI (ES) Comment-Letter-NAIC-Annuity-...Model-Regulation 04/26/2019
CAI (ES) Comment Letter on Notice of Draft Regulations and Request for Comment Fiduciary Duty Regulations 03/01/2019
CAI (ES) Comment Letter on Suitability in Annuity Transactions Model Regulation 02/15/2019
CAI (ES) Comment Letter on List of Rules Scheduled to be Reviewed Pursuant to the Regulatory Flexibility Act 12/21/2018
Committee Comment Letter - CAI Form CRS Comment Letter - S7-08-18 11/19/2018
Committee Comment Letter on NYDFS Reg 187 Proposal 06/19/2018
Committee Comment Letter Filed re FINRA Proposed Rule on OBAs 05/07/2018
CAI (ES) Comment-Letter on FINRA-RN-18-08 Outside Business Activities 04/27/2018
Committee Comment Letter Filed-- FINRA Regulatory Notice 18-05 /Government Securities Initiative 04/18/2018
CAI (ES) Comment-Letter-Re-FINRA-RN-18-05 Government Securities Initiative 04/09/2018
CAI (ES) Proposed 1st Amendment-to-Insurance Regulation-187 Suitability in Life Insurance and Annuity Transactions 02/26/2018
CAI (ES) Comment-Letter-on-NAIC-Suitability-Model-Regulation 01/22/2018
CAI (ES) Comment Letter on Regulation Notice 17-38 Remote Branch Office Inspections 01/12/2018
Committee Comment Letter Filed/ SEC Standard of Conduct 10/24/2017
Committee Comment Letter - Proposed Extension of Fiduciary Transition Rule 09/15/2017
Committee Comment Letter - Fiduciary Rule RFI 08/07/2017
Committee Comment Letter - DOL RFI 07/24/2017
Letter to Chairman Clayton on behalf of the Committee of Annuity Insurers 07/11/2017
Committee Comment Letter re FINRA Regulatory Notice 17-15 Corporate Financing 07/07/2017
Committee Comment Letter re FINRA Retrospective Rule Review Outside Business Activities and Private Securities Transactions 06/29/2017
Committee Comment Letter re NYDFS-Reg-210 06/23/2017
Committee Comment Letter re FINRA Special Notice Engagement Initiative 06/19/2017
Committee Recommendations for 2017-2018 Priority Guidance Plan 05/31/2017
Committee Comment Letter re SR FINRA 2017-007 05/01/2017
Committee Comment Letter on Notice 2017-09 04/24/2017
Committee Comment Letter on Fiduciary Rule Reconsideration 04/17/2017
Committee Comment Letter re FINRA RN 17-06 03/27/2017
Committee Comment Letter on Fiduciary Rule Delay 03/16/2017
Committee Comment Letter re the DOL’s Proposed Best Interest Contract Exemption for Insurance Intermediaries 02/21/2017
Committee Comment Letter re NYDFS Reg 210 01/17/2017
Committee Comment Letter on Wyden Retirement Proposals 12/07/2016
Committee Recommendations for 2016-2017 Priority Guidance Plan Items 05/16/2016