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.
Survey: Consumers Confused About Life Regulation
By Staff WriterNU Online News Service, June 17, 11:54 a.m. -- Only 34% of adult U.S. residents know that states regulate life insurance companies, and 25% ...
June 09, 2002
Multiple Policies Raise Cost ConcernsByA draft regulation addressing treatment of beneficiaries of multiple policies is drawing comments concerning cost and potential legal liability.The issue will be examined this week ...
June 02, 2002
SEC Proposes Rule For Mutual Fund AdsByWashington The Securities and Exchange Commission is proposing a rule aimed at combating misleading mutual fund advertisements.The proposed rule would allow mutual funds to include ...
May 30, 2002
SEC Permits Barclays to Launch First Bond Index ETMay 30, 2002 -- Barclays Global Fund Advisors announced that the U.S. Securities and Exchange Commission voted to permit Barclays to introduce the nation's first...
May 30, 2002
SEC Proposes Mutual Fund Ad Rule ChangeNU Online News Service, May 30, 10:55 a.m. -- WashingtonThe U.S. Securities and Exchange Commission is proposing a rule that would let mutual fund ...
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 ...