State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Leonardi assumes NAIC international regulatory mantle
By Liz FestaConnecticut Insurance Commissioner Tom Leonardi will fill the seat left by Terri Vaughan as a state regulatory.
January 21, 2013
Don’t Fall Off a Compliance Cliff in 2013The U.S. avoided one fiscal cliff, but without proper books and records, state- and SEC-registered investment advisors can teeter on a cliff of their own making. One advisory firm's cautionary tale.
January 21, 2013
The 2013 Compliance To-Do ListLets make 2013 the year that advisory firms finally take internal control of their compliance obligations, rather than relying on unrelated parties to do so.
January 21, 2013
People with Alzheimer's test brain pacemakersMore than 85,000 people are already using brain pacemakers to control movement disorders.
January 17, 2013
HHS awards exchange establishment grantsCalifornia, Kentucky, Massachusetts, New York and Oregon have reached "Level Two."
January 15, 2013
Arizona governor to expand Medicaid programJan Brewer, a Republican, has surprised lawmakers in her state by deciding to take PPACA money.
January 15, 2013
Arizona governor to expand Medicaid programJan Brewer, a Republican, has surprised lawmakers in her state by deciding to take PPACA money.
January 14, 2013
Mali Islamists seize town amid French interventionThe French hope it will be a matter of weeks before formal control can be handed back to the Malian government.