State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
October 14, 2013
PPACA exchange numbers still scarceIn some states, the official application completion count is still zero.
October 10, 2013
Disability Insurance Observer: SeparationMaybe even investors with long time horizons would benefit from less tug of war.
October 09, 2013
New Hire Roundup: Ohio Securities Commissioner Andrea Seidt to Lead NASAAStephanie Zaffos joined Convergent Wealth Advisors, Scivantage welcomed Jim Toussignant, and the SEC announced three staff promotions.
October 08, 2013
Nevada to use compact LTCI standardsCarriers can now cover the Silver State with IIPRC individual long-term care insurance filings.
October 08, 2013
Nevada to use compact LTCI standardsCarriers can now cover the Silver State with IIPRC individual long-term care insurance filings.
October 08, 2013
‘Big Switch’ RIAs Now Regulated by States Exhibit Similar Deficiencies on Exams: NASAAA NASAA report on advisors who switched from SEC to state oversight shows deficiencies similar to smaller RIAs who had been regulated by the states.