State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Obama, Romney showing new urgency in close race
By Ben Feller, Nedra PicklerWith swinging polls making the White House race as unpredictable as ever, President Barack Obama and Republican challenger Mitt Romney spent Tuesday in Ohio.
October 08, 2012
PPACA: 19 states missed essential benefits deadlineA state health policy group finds that nine states have taken no action on the EHB package.
October 02, 2012
Fla.’s pension fund underfunded by $19.2 billionGov. Rick Scott has complained about the long-term health of the pension planand whether the state is overestimating the amount it expects to earn off investments.
September 27, 2012
10 steps to make annuity sales easierAnnuity suitability requirements got you down? Conquer the paperwork maze with these guidelines.
September 21, 2012
Arizona AG sues drug wholesalerThe case hinges on the spread between the published prices and the actual costs.
September 21, 2012
Regulatory, Legislative Challenges Call for a New PlaybookIt is clear to me that NASAA should have an active voice that is not only heard by lawmakers, but heeded.
September 20, 2012
U.K. Lawmakers Call for Arctic Drilling MoratoriumA body of British lawmakers says there is inadequate cleanup infrastructure in place in case of a spill.
September 13, 2012
BDs’ Top 5 Biggest Compliance Failures: NASAANASAA has released the results of its coordinated examinations of broker-dealers, identifying BDs top five compliance violations.