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.
New York Department Adopts Health Risk Transfer Regulation
By Staff WriterNU Online News Service, Aug. 10, 4:56 p.m. -- The New York State Insurance Department has announced the final adoption of Regulation Number 164, ...
July 05, 2001
SEC Issues Some Guidelines On Variable Annuity ExchangesSEC Issues Some Guidelines On Variable Annuity ExchangesByWashington The Securities and Exchange Commission has issued guidelines for determining the "retail exception" to Section 11 of ...
July 03, 2001
Pension Institute Announces Summer ConferenceNU Online News Service, July 3, 10:10 a.m. ? The National Institute of Pension Administrators, Chicago, is holding a summer conference Aug. 10-12 in ...
June 28, 2001
Study Finds Privacy Worries ExecutivesNU Online News Service, June 28, 1:05 p.m. -- The New York office of KPMG L.L.P. has released a new study suggesting that top ...
June 28, 2001
Getting More Efficient Regulation Now A 'Survival Issue' For ACLIGetting More Efficient Regulation Now A 'Survival Issue' For ACLIByWashington Improving the efficiency of life insurance regulation is now viewed as a "survival issue" by ...
June 26, 2001
SEC Issues Guidelines On Variable Annuity Contract ExchangesNU 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 22, 2001
Federal Appeals Court Overturns UPS Tax RulingNU Online News Service, June 22, 4:55 p.m. -- A federal appeals court in Atlanta has overturned a 1999 decision stating that UPS, Atlanta, ...
June 21, 2001
New SEC Rules Add Thrifts To Broker-Dealer ExceptionsNew SEC Rules Add Thrifts To Broker-Dealer Exceptions ByThe Securities and Exchange Commission has adopted interim final rules that give thrift institutions the same ...