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.
House Judiciary OKs Class Action Jurisdiction Bill
By Steven BrostoffNU Online News Service, Mar. 8, 9:52 a.m. -- WashingtonThe House Judiciary Committee Thursday approved legislation that would let defendants in multistate class action ...
January 21, 2002
Cobalt Fights American Medical Over ProxyNU Online News Service, Jan. 21, 11:16 a.m. -- Cobalt Corp., Milwaukee, says it wants to nominate its own slate of directors in the ...
December 19, 2001
MetLife And Hancock To Run Federal LTC ProgramNU Online News Service, Dec. 19, 11:48 p.m. -- The U.S. Office of Personnel Management has picked a partnership formed by MetLife Inc., New ...
December 09, 2001
Optional Federal Chartering: Be Careful What You Ask ForOptional Federal Chartering: Be Careful What You Ask ForThe American Council of Life Insurers last month decided to formally pursue optional federal chartering for life ...
December 02, 2001
Insurers Weigh Legal Challenge To Vermont Privacy RegulationInsurers Weigh Legal Challenge To Vermont Privacy RegulationByInsurers are weighing a legal challenge to privacy regulations established by the Vermont department of banking, insurance, securities ...
November 14, 2001
Agents Accuse Feds Of Weakening Bank Insurance RegulationNU Online News Service, Nov. 14, 1:15 p.m. -- WashingtonTwo insurance agent groups have filed a lawsuit against the Office of the Comptroller of ...
November 04, 2001
SEC's BrokerDealer Record Rule PraisedByWashington Insurance companies and agents are praising the Securities and Exchange Commission for issuing a final rule on broker/dealer record keeping requirements that accommodates limited ...
November 01, 2001
Insurers Applaud SEC Recordkeeping RegNU Online News Service, Nov. 1, 10:16 a.m. -- WashingtonInsurance companies and agents are praising the Securities and Exchange Commission for issuing a final ...