Schwab Annuity Portfolios has filed a new report asserting its compliance with the U.S. Securities and Exchange Commission (SEC) regulations. This filing is significant as it demonstrates the company's commitment to maintaining high standards of regulatory compliance, especially in the context of the Investment Company Act of 1940. The assertion indicates that the company has established effective internal controls to ensure adherence to these requirements, which is vital for maintaining investor trust.

Background

Schwab Annuity Portfolios is an investment company based in San Francisco, California. The company, which operates under the Central Index Key (CIK) 0000918266, is registered with the SEC and is subject to its rules and regulations. The latest filing, dated November 4, 2026, is a Form 40-17F2, which pertains to the custody of investments by registered management investment companies. This filing follows a series of recent submissions, including N-MFP3 and N-CSRS forms.

What the Filing Says

According to the filing, management of Schwab Annuity Portfolios has evaluated the compliance of its investment accounts with the SEC's Rule 17f-2, which governs the custody of investments. The management's assertion states, "We assert that the Funds were in compliance with the requirements of subsections (b) and (c) of Rule 17f-2 of the Investment Company Act of 1940 as of August 11, 2026, and from April 30, 2026, through August 11, 2026." This statement reflects the company's ongoing commitment to regulatory standards.

Impact

This assertion of compliance may have a significant impact on various stakeholders, including investors, regulators, and competitors within the investment industry. By confirming adherence to SEC regulations, Schwab Annuity Portfolios aims to bolster investor confidence and demonstrate its commitment to transparency and accountability. Competitors may feel pressure to ensure their own compliance measures are equally robust to maintain investor trust and avoid potential scrutiny.

What's Next

The filing does not specify what actions will follow this assertion of compliance. However, it highlights the importance of maintaining regulatory standards in the investment industry, especially as scrutiny from regulators continues to increase.