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.
Data Theft Victims Might Get Free Credit Report Access
By Arthur D. PostalA new House bill could establish national data security standards for financial services firms.[@@]Rep. Deborah Pryce, R-Ohio, the lead sponsor of the bill, H.R. ...
September 28, 2005
Employee Benefit Captives Momentum BuildingFire xx--Slug--go page xx, with --184 linesThe Columbia Energy case paved the way, but what's the holdup?Anecdotal evidence suggests that there are inefficiencies in ...
September 21, 2005
ACLI May Seek Changes In New Data Security BillWashingtonData security legislation for financial services firms introduced last week in the House would bar states from imposing their own standards but would at ...
September 20, 2005
Carrier Group Continues To Fight NASD VA Proposal (Corrected)The American Council of Life Insurers has repeated its call for the U.S. Securities and Exchange Commission to scrap a proposed National Association of ...
September 16, 2005
NASD%3A Home Offices Not Branch OfficesThe U.S. Securities and Exchange Commission has approved a rule change that could force broker-dealers affiliated with life insurers to register more offices as ...
September 14, 2005
MassMutual Fund Unit Settles With SECOppenheimerFunds Inc. and its distribution unit have agreed to settle U.S. Securities and Exchange Commission proceedings stemming from old broker-dealer revenue-sharing arrangements, the SEC ...
September 14, 2005
Relief From Federal RegulatorsThe Treasury Department, Internal Revenue Service, and the Securities and Exchange Commission are providing tax breaks and regulatory relief to those individuals and companies affected by Hurricane Katrina.
September 14, 2005
Tech Provides Answers To Headache Of Multiple RegulationsCompliance products offer secure access, streamlined operationAs regulation in the insurance industry continues to grow, insurers increasingly are finding themselves facing what seems like ...