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: Half Of Americans Aware Of HIPAA Privacy Regulations
By Staff WriterNU Online News Service, April 2, 2003, 11:06 a.m. EST -- Fewer than 46% of U.S. residents say they are familiar with the new ...
March 31, 2003
SEC Sets Dates for Hedge Fund Round TableThe Securities and Exchange Commission will host round table discussions on a wide range of issues related to hedge funds, on May 14 and 15 in the William O. Douglas Room at SEC headquarters.
March 26, 2003
Cobra Compliance Teams With BSwiftNU Online News Service, March 26, 2003, 12:03 p.m. EST -- Cobra Compliance Systems Inc., Coldwater, Mich., has agreed to market benefits enrollment and ...
March 26, 2003
SEC Talks To Protective About Securities Loss AccountingNU 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 25, 2003
UnumProvident Makes Peace With SECNU Online News Service, March 25, 2003, 12:55 p.m. EST -- UnumProvident Corp., Chattanooga, Tenn., says it has responded to an accounting critique from ...
March 25, 2003
State Lawmakers Fear Shift To Federal RegulationNU Online News Service, March 25, 2003, 5:03 p.m. EST -- New YorkLawmakers here for a meeting of the executive committee task force of ...
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 ...