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.
Federal Regulation: A Specious Goal
By Jack BoboRecognizing that unity is all-important in legislative matters, the American Council of Life Insurers and the National Association of Insurance and Financial Advisors are again ...
February 12, 2004
The Dangers And Opportunities Of The New Split-Dollar RegulationsThe Dangers And Opportunities Of The New Split-Dollar RegulationsThe Chinese have a symbol, pronounced jitsui, which means both danger and opportunity.Jitsui is a perfect descriptor ...
February 09, 2004
ACLI Pans SEC Variable Product ProposalNU Online News Service, Feb. 9, 2004, 3:43 p.m. EST, Washington -- Life insurers are challenging a U.S. Securities and Exchange Commission variable product ...
February 06, 2004
ACLI Questions China Branch Capital RequirementsNU Online News Service, Feb. 6, 2004, 1:24 p.m. EST -- The Chinese Insurance Regulatory Commission has set high capital requirements for foreign insurers ...
February 05, 2004
NAIFA CEO: We Didnt Change Our Policy, We 'Strengthened' ItNAIFA CEO: We Didnt Change Our Policy, We Strengthened ItTo The Editor: I would like to clarify a key point in your report on the ...
February 01, 2004
A Flurry of Rules From the SECThe New Year had barely begun, but the Securities and Exchange Commission was already bombarding investment advisors and mutual funds with a bunch of proposed...
January 29, 2004
IDS Life Asks SEC For Exemption OrderNU Online News Service, Jan. 29, 2004, 4:36 p.m. EST -- IDS Life Insurance Company, Minneapolis, and its sister companies are asking for help ...
January 29, 2004
One Way To Cover The Uninsured? Trim Health Services Regulation CostsByWashington The net burden of health services regulation likely exceeds the annual cost of covering all 44 million uninsured Americans, says a health care researcher."A ...