State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Lawyer Charged With Bilking Client, 90, to Fund Cat Litter Box Invention
By Sabrina BachaiCalifornia attorney Delbert Modlin is charged with persuading a 90-year-old man to liquidate his assets and invest the $120,000 proceeds into an improved litter box.
August 26, 2014
Are regulators friends or foe?Have state regulators placed their need for hidden revenues above their mission of ensuring a viable and competitive insurance industry?
August 21, 2014
NAIC approves LTCI rate proposalIn states that use the model, insurers will have to spend more time talking to actuaries.
August 19, 2014
Elder Financial Abuse Targeted by State RegulatorsSince 2008, NASAA said, more than 34% of enforcement actions by state securities regulators have involved senior victims.
August 13, 2014
Home care planning: 4 things LTC planners should know about the new regsThe final rule has a direct effect on Medicaid but could affect other parts of the LTC community.
August 08, 2014
How PPACA has changed insured rates, state by stateKansas is the only state that has seen a significant rise in the number of uninsured in 2014.
August 08, 2014
How PPACA has changed insured rates, state by stateKansas is the only state that has seen a significant rise in the number of uninsured in 2014.
August 07, 2014
Advisors, Get Paranoid: Your Firm Is a Hacker’s Candy StoreHackers dont just want money. Financial advisors have access to valuable information, not to mention connections to other advisors with their own assets and information.