Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
June 01, 2005
Reg Rigmarole Crippling Fund FirmsMutual fund officials told Congress last month that fund firms are drowning in the deluge of SEC rules they've come under in the last year...
June 01, 2005
Stretched Too Thin?No single commercial or governmental agency has as big an influence on financial planners and investment advisors as the Securities and Exchange Commission. Moreover, within...
June 01, 2005
Who's in Charge?As the turf war between state and federal regulators rages on, industry officials are debating whether that competition is good for investors. Ron Rhoades, chief...
May 27, 2005
Federal Program LTC Insurer Keeps Underwriting AuthorityThe federal Office of Personnel Management has published a final version of the regulation that governs the Federal Long Term Care Insurance Program.[@@]The program, ...
May 25, 2005
Try, And Try AgainTry, And Try AgainEven if you don't agree with them, you've got to admire the sheer doggedness of those companies and organizations that are ...
May 25, 2005
IT Eecs Lament Tight Budgets, Lack Of Non-IT SupportGo page 10 with Meeting Coverage banner. File #22-CIO-panel-mh. 99 linesConference participants say they're asked to do more with lessOrlandoAn electronic poll conducted during ...
May 25, 2005
New Agent Group Supports Optional Federal OversightA new association says it is speaking for insurance agents who want to give insurers a chance to choose between state regulation and federal ...
May 25, 2005
Coalition Recruits Insurers For Optional Federal Charter EffortDozens of large life insurers may sign a letter asking Congress to give life insurers the option of choosing between state regulation and federal ...
May 18, 2005
Company Group Funds New Agent OrganizationA new trade association for insurance agents has been formed to support passage of an optional federal charter.The group, Agents for Change, has been ...
May 18, 2005
New Riders Signal Status Of New Product DevelopmentWe have a rule of thumb at our offices: The number of new policy and contract riders we see is a true indication of ...