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.
May 24, 2002
California Unveils Privacy Reg DraftNU Online News Service, May 24, 4:59 p.m. -- The California Insurance Department has released a new draft of a privacy regulation that would ...
May 19, 2002
Federal Charter Hearings Expected In JuneByWashington A House Financial Services Committee panel is expected to begin hearings on state regulation and optional federal chartering of insurance companies in June, the ...
May 16, 2002
Survey: Advisors Worry Most About GovernmentNU Online News Service, May 16, 3:23 p.m. -- Independent financial advisors worry most about government regulation, bear markets and other independent advisors, according ...
May 16, 2002
Federal Charter Hearings To Start In JuneNU Online News Service, May 16, 1:05 p.m. -- WashingtonA House Financial Services Committee panel is expected to begin hearings on state regulation and ...
May 15, 2002
Frankel Pleads GuiltyNU Online News Service, May 15, 6:33 p.m. -- Martin Frankel, a jailed financier accused of bilking seven life insurers of more than $200 ...
May 15, 2002
State Privacy RoundupNU Online News Service, May 15, 5:54 p.m. -- Insurance regulators in California and Connecticut say they are making progress with efforts to develop ...
May 09, 2002
Federal Chartering Unlikely To Pass This SessionNU Online News Service, May 9, 4:55 p.m. -- New YorkSpeakers agreed here Wednesday that Congress is unlikely to create a "federal charter option" ...