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.
Multicultural Compliance Shapes Insurance Marketing
By Jim ConnollyNU Online News Service, March 30, 2004, 2:10 p.m. EST, New York -- Insurance company compliance officers should think about race and ethnicity when ...
March 24, 2004
Why Is The SEC Inquiring Into Insurers Asset Allocation Programs?Why Is The SEC Inquiring Into InsurersAsset Allocation Programs?BYLast November, the staff of the Securities and Exchange Commission sent a letter of inquiry to many ...
March 18, 2004
ACLI Questions Oxley Reform ProposalNU Online News Service, March 18, 2004, 5:41 p.m. EST, Washington -- A top insurance trade group official says U.S. House Financial Services Committee ...
March 15, 2004
Oxley: Congress Might Create Regulatory ToolsNU Online News Service, March 15, 2004, 6:11 p.m. EST, New York -- Rep. Michael Oxley, R-Ohio, told insurance commissioners here that federal lawmakers ...
March 11, 2004
SEC Backs Away From Hard Close ProposalNU Online News Service, March 11, 2004, 6:15 p.m. EST, Washington -- The U.S. Securities and Exchange Commission is reevaluating its proposed "hard" 4 ...
March 09, 2004
NAIC May Ask NAIFA To Reconsider New PositionNU Online News Service, March 9, 2004, 12:45 p.m. EST -- A key agent group says it will continue to support consideration of federal ...
March 08, 2004
Evolution Offers Electronic OTC SubstantiationNU Online News Service, March 8, 2004, 4:11 p.m. EST -- Evolution Benefits Inc., Avon, Conn., has taken a step toward eliminating paper from ...
March 05, 2004
SEC May Move Against Fremont FundsMarch 4, 2004 -- The Securities and Exchange Commission has told the investment adviser to the Fremont Funds that it plans to recommend that civil...