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SEC Grants Capitolis Relief from Audited Financial Filing

The SEC's Division of Trading and Markets will not recommend enforcement action if Capitolis Global Broker Dealer LLC does not file its audited annual financial statements for the fiscal year ending January 31, 2026. This relief is contingent on the firm's audited financial reports for the subsequent fiscal year covering the entire period since its registration.

SEC No-Action Letter: DTC Tokenization Services Pilot

The SEC's Division of Trading and Markets issued a no-action letter to The Depository Trust Company (DTC) regarding its pilot program for tokenization services. This guidance allows DTC to proceed with developing and testing its DTCC Tokenization Services using distributed ledger technology for security entitlements.

SEC Grants Eagle Life Insurance SAP Filing Permission

The SEC's Division of Investment Management granted Eagle Life Insurance Company permission to file audited financial statements prepared under statutory accounting principles (SAP) instead of GAAP in its Form S-1 registration statements. This guidance applies to specific index-linked annuity contracts.

SEC Grants SAP Financial Statement Filing for Life Insurers

The SEC's Chief Accountant's Office granted a request from American General Life Insurance Company and two affiliates to file financial statements prepared under statutory accounting principles (SAP) instead of GAAP for certain annuity contracts on Form S-1 registration statements. This permission is specific to the described non-variable annuity contracts and requires notification for future filings.

SEC Guidance: Insurance Companies May File SAP Financial Statements for Index-Linked Policies

The SEC's Division of Investment Management issued guidance allowing insurance companies to file financial statements prepared under statutory accounting principles (SAP) instead of GAAP for certain index-linked policies and contingent deferred annuities. This permission is subject to specific representations and acknowledgments filed with the SEC.

SEC No-Action Letter: Jackson National Life Insurance SAP Financial Statements

The SEC's Division of Investment Management granted Jackson National Life Insurance Company and Jackson National Life Insurance Company of New York permission to file financial statements prepared under statutory accounting principles (SAP) instead of GAAP. This applies to specific annuity contracts filed on Form S-1.

SEC grants Pacific Life permission to file SAP financial statements

The SEC's Chief Accountant's Office granted Pacific Life Insurance Company and Pacific Life & Annuity Company permission to file audited financial statements prepared in accordance with statutory accounting principles (SAP) instead of GAAP. This applies to specific annuity contracts filed on Form S-1.

SEC Exchange Act Exemptive Orders and Notices

The SEC has issued several exemptive orders and notices related to the Securities Exchange Act of 1934. These documents provide exemptions from specific rules for various entities, including foreign private issuers and exchanges, and some are accompanied by requests for public comment.

SEC Investment Company Act Notices and Orders

The SEC has published a list of recent notices and orders related to the Investment Company Act of 1940. These documents provide specific approvals and information for various investment companies and their transactions.

SEC Investment Company Act Deregistration Notices and Orders

The SEC has published notices and orders related to the deregistration of several investment companies under the Investment Company Act of 1940. These notices, dated February 27, 2026, provide details on applications for deregistration filed by various funds.