State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Insurers eye alternative strategies
By Warren S. HerschEight in 10 insurers say they are considering increasing their allocation to alternative strategies as they look for sources of additional yield.
May 22, 2013
Are background checks becoming an IA registration requirement?Massachusetts is the latest in a small number of states that check advisor criminal records before issuing a license.
May 22, 2013
Are background checks becoming an IA registration requirement?Massachusetts is the latest in a small number of states that check advisor criminal records before issuing a license.
May 21, 2013
Delivering the Promises of Natural GasI am going to tell you about the role natural gas currently plays in the United States and the role it can, and should, play in Americas future.
May 20, 2013
Junxure’s Friedman: Use Tech to Ensure Smooth ExamsThe speed, ease and accuracy with which the information is retrieved will go a long way in determining the outcome of the exam.
May 20, 2013
Assessing FATCA's impact on the insurance industryWhile many provisions of the final regulations simplified or clarified the impact on insurers, certain provisions have ultimately complicated or raised additional questions on FATCA's impact.
May 20, 2013
Assessing FATCA's impact on the insurance industryWhile many provisions of the final regulations simplified or clarified the impact on insurers, certain provisions have ultimately complicated or raised additional questions on FATCA's impact.
May 20, 2013
Washington state butcher spikes pig feed with weedThe butcher at Pike Place Market says he is getting better pork because of it.