State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Compliance oversight lacking at insurance companies
By Maria WoodOnly 10 percent graded their companys system at the top end of the spectrum for compliance management and supervision.
April 18, 2013
State regulators to hike exam fees for Series 63, 65 and 66Despite increased costs of maintaining the exams, NASAA says the exam fees have not increased for the past four years.
April 18, 2013
State regulators to hike exam fees for Series 63, 65 and 66Despite increased costs of maintaining the exams, NASAA says the exam fees have not increased for the past four years.
April 18, 2013
Montana Senate advances pension plan overhaulThe bills ask both employees and employers to pay more into a system that faces a $4 billion projected shortfall in 30 years.
April 18, 2013
Montana Senate advances pension plan overhaulThe bills ask both employees and employers to pay more into a system that faces a $4 billion projected shortfall in 30 years.
April 17, 2013
State Securities Regulators to Hike Exam Fees for Series 63, 65 and 66Despite increased costs of maintaining the exams, NASAA says the exam fees have not increased for the past four years.
April 17, 2013
Hawaii forms public LTCI study bill conference committeeSome want the state to set up a limited-benefit long-term care benefits program.
April 17, 2013
Hawaii forms public LTCI study bill conference committeeSome want the state to set up a limited-benefit long-term care benefits program.