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 10, 2001
SEC Mulls Oversight Of Financial Web PortalsByOfficials at the U.S. Securities and Exchange Commission are wondering whether they should regulate financial Web portals.SEC officials are happy to see financial portals such ...
June 10, 2001
Creating A Compliance Roadmap For Managers Of AgentsCreating A Compliance Roadmap For Managers Of AgentsIncreasingly, managers are finding themselves in the uncomfortable position of being held accountable by companies and regulators for ...
June 01, 2001
Some New Yorkers Ask Insurance Department For Right To Sue Insurers Over Privacy ViolationsNU Online News Service, June 1, 2:35 p.m. -- The New York State Insurance Department has renewed its temporary, emergency adoption of a new ...