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 And Insurance Departments Collaborate On Company Exams
By Jim ConnollySEC And Insurance Departments Collaborate On Company ExamsByThe Securities and Exchange Commission is participating with state insurance departments in collaborative joint examinations of companies that ...
June 17, 2002
Ceridian Acquires HR ComplyNU Online News Service, June 17, 4:03 p.m. -- Ceridian Corp., Minneapolis, has acquired HR Comply Corp., Ponte Vedra Beach, Fla., a company that ...
June 17, 2002
Survey: Consumers Confused About Life RegulationNU Online News Service, June 17, 11:54 a.m. -- Only 34% of adult U.S. residents know that states regulate life insurance companies, and 25% ...
June 16, 2002
SEC Advertising Proposals Could Create Marketing OpportunitiesSEC Advertising Proposals Could Create Marketing OpportunitiesThe Securities and Exchange Commission recently proposed amendments to its advertising rules that would give mutual funds, variable annuity ...
June 14, 2002
AAHP Praises Medicaid Patient Protection RegulationNU Online News Service, June 14, 5:33 p.m. -- The American Association of Health Plans, Washington, is supporting the new, revised Medicaid patient protection ...
June 09, 2002
Multiple Policies Raise Cost ConcernsByA draft regulation addressing treatment of beneficiaries of multiple policies is drawing comments concerning cost and potential legal liability.The issue will be examined this week ...
June 02, 2002
SEC Proposes Rule For Mutual Fund AdsByWashington The Securities and Exchange Commission is proposing a rule aimed at combating misleading mutual fund advertisements.The proposed rule would allow mutual funds to include ...
May 30, 2002
SEC Permits Barclays to Launch First Bond Index ETMay 30, 2002 -- Barclays Global Fund Advisors announced that the U.S. Securities and Exchange Commission voted to permit Barclays to introduce the nation's first...