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: Advisors Worry Most About Government
By Staff WriterNU Online News Service, May 16, 3:23 p.m. -- Independent financial advisors worry most about government regulation, bear markets and other independent advisors, according ...
May 15, 2002
State Privacy RoundupNU Online News Service, May 15, 5:54 p.m. -- Insurance regulators in California and Connecticut say they are making progress with efforts to develop ...
May 09, 2002
Federal Chartering Unlikely To Pass This SessionNU Online News Service, May 9, 4:55 p.m. -- New YorkSpeakers agreed here Wednesday that Congress is unlikely to create a "federal charter option" ...
April 28, 2002
SEC's New Rules For VL Registrations Will Reform ProspectusesSECs New Rules For VL Registrations Will Reform ProspectusesThe Securities and Exchange Commissions new rules for prospectuses that offer variable life insurance policies, which were ...
April 21, 2002
SEC Breaks Ground In Adopting New VL Registration From N-6SEC Breaks Ground In Adopting New VL Registration Form N-6The Securities and Exchange Commission has adopted Form N-6, the long-awaited registration form designed specifically for ...
April 21, 2002
Your Message To Employers: Manage FLMA With Other Benefit ProgramsYour Message To Employers: Manage FLMA With Other Benefit ProgramsByDo you work with employers having 50 or more employees within a 75-mile radius? If so, ...