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.
SEC Issues Guidelines On Variable Annuity Contract Exchanges
By Steven BrostoffNU Online News Service, June 26, 3:00 p.m. -- WashingtonThe Securities and Exchange Commission has issued guidelines for determining the "retail exception" to Section ...
June 20, 2001
NAIC Committee Approves Statutory Accounting Principles GuidelinesNU Online News Service, June 20, 12:15 p.m. -- The Financial Regulation Standards and Accreditation Committee of the National Association of Insurance Commissioners, Kansas ...
June 18, 2001
Benefits Foundation Publishes Guide To New Federal Pension LawsNU Online News Service, June 18, 2:05 p.m. -- The International Foundation of Employee Benefit Plans, Brookfield, Wis., has published a 180-page guide to ...
June 15, 2001
Actuaries Want IRS Mortality Tables To Reflect Higher Blue-Collar Death RatesNU Online News Service, June 15, 1:15 p.m. -- The American Academy of Actuaries, Washington, is asking the Internal Revenue Service to approve a ...
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 ...