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.
California Unveils Privacy Reg Draft
By Staff WriterNU Online News Service, May 24, 4:59 p.m. -- The California Insurance Department has released a new draft of a privacy regulation that would ...
May 16, 2002
Federal Charter Hearings To Start In JuneNU Online News Service, May 16, 1:05 p.m. -- WashingtonA House Financial Services Committee panel is expected to begin hearings on state regulation and ...
May 15, 2002
Frankel Pleads GuiltyNU Online News Service, May 15, 6:33 p.m. -- Martin Frankel, a jailed financier accused of bilking seven life insurers of more than $200 ...
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 ...