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 Talks To Protective About Securities Loss Accounting
By Staff WriterNU Online News Service, March 26, 2003, 3:55 p.m. EST -- Protective Life Corp., Birmingham, Ala., says the U.S. Securities and Exchange Commission may ...
March 23, 2003
IT Systems Play A Key Role In Responding To TerrorismIT Systems Play A Key Role In Responding To TerrorismBy Ara C. TremblySan Antonio In the post-9/11 era, financial services companies, including insurers, must utilize ...
March 13, 2003
NAIC May Work On LTC RegulationsNU Online News Service, March 13, 2003, 6:20 p.m. EST -- AtlantaInsurance regulators heard discussions here about the state of the long-term care insurance ...
March 11, 2003
LOMA Schedules Financial ForumNU Online News Service, March 11, 2003, 11:28 a.m. EST -- LOMA, Atlanta, will be holding the Financial Inforum May 4-7 in Naples, Fla.Sessions ...
March 11, 2003
Brandeis: Drug Discount Cards Save MoneyNU Online News Service, March 11, 2003, 12:32 p.m. EST -- The big, well-known discount drug card programs really can save patients money, according ...
March 10, 2003
BearingPoint To Set Up CA Compliance SystemsNU Online News Service, March 10, 2003, 10:59 a.m. EST -- Computer Associates International Inc., Islandia, N.Y., has released CleverPath for Global Compliance, a ...
March 09, 2003
Suitability Regulation Takes Another TurnSuitability Regulation Takes Another TurnThe long-running saga of crafting a model law for regulating the suitability of insurance product sales has taken another turn--and this ...
February 23, 2003
NAIC Ready To Release A New Suitability ModelNAIC Ready To Release A New Suitability ModelByA new working draft to address the suitable sale of products is ready for public exposure and comment, ...