State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
State Regulation
How will feds handle exchange agent concerns?
By Allison BellCMS wants to hear about issues and report problems to the producer's state of licensure.
June 04, 2014
Feds to exchange helpers: Control your robotsCMS also has thoughts on per-application assistant comp at state-based exchanges.
June 03, 2014
Massachusetts, Illinois Surveying Advisors on CybersecurityAdvisors' responses could prompt changes in state regulations, Massachusetts securities regulator William Galvin says.
May 21, 2014
Nevada to dump exchange vendorThe state may use HealthCare.gov for 2015 and another state's exchange system for 2016.
May 21, 2014
Nevada to dump exchange vendorThe state may use HealthCare.gov for 2015 and another state's exchange system for 2016.