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.
August 10, 2001
New York Department Adopts Health Risk Transfer RegulationNU Online News Service, Aug. 10, 4:56 p.m. -- The New York State Insurance Department has announced the final adoption of Regulation Number 164, ...
August 01, 2001
Judge Lets Chiropractors Proceed With SuitNU Online News Service, Aug. 1, 2:04 p.m. -- U.S. District Judge James Jones of the U.S. District Court in Abingdon, Va., is allowing ...
July 12, 2001
SEC Eying Effects Of Heightened Competitiveness In VA MarketSEC Eyeing Effects Of Heightened Competitiveness In VA MarketByWashington, D.C. The Securities and Exchange Commission has some concerns about variable annuities, not the least of ...
July 05, 2001
SEC Issues Some Guidelines On Variable Annuity ExchangesSEC Issues Some Guidelines On Variable Annuity ExchangesByWashington The Securities and Exchange Commission has issued guidelines for determining the "retail exception" to Section 11 of ...
July 03, 2001
Pension Institute Announces Summer ConferenceNU Online News Service, July 3, 10:10 a.m. ? The National Institute of Pension Administrators, Chicago, is holding a summer conference Aug. 10-12 in ...
June 28, 2001
Study Finds Privacy Worries ExecutivesNU Online News Service, June 28, 1:05 p.m. -- The New York office of KPMG L.L.P. has released a new study suggesting that top ...
June 28, 2001
Getting More Efficient Regulation Now A 'Survival Issue' For ACLIGetting More Efficient Regulation Now A 'Survival Issue' For ACLIByWashington Improving the efficiency of life insurance regulation is now viewed as a "survival issue" by ...