State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
North Korea vows blitz attack on South warning ‘retaliation will start without notice’
By Staff WriterNorth Korea warns that its attack on South Korea will come with no warning.
April 10, 2013
Florida’s Notice-Filing Legislation Affects Advisors NationwideTraditionally, financial services firms would have to close pending approval of a notice filing for actions such as changing BDs or moving offices.
April 09, 2013
NIMA offering associate membership to states at no costSome states have expressed interest, but will it catch on? Time will tell.
April 08, 2013
Governance procedures to get their own model lawConfidentiality is a many-headed hydra," says Susan Donegon, Vermont insurance commissioner, on balancing insurers' protection with regulators' needs for review.
April 08, 2013
SABIR-rattling at the NAIC and beyondSABIR says the threat of federal regulation usurping state regulation and states' rights has never been stronger.
April 08, 2013
SABIR-rattling at the NAIC and beyondSABIR says the threat of federal regulation usurping state regulation and states' rights has never been stronger.