State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
N.H. commissioner prefers partnership exchange
By Holly RamerA new state law prohibits regulators from setting up a New Hampshire-based exchange.
January 29, 2013
States force jobless to pay needless feesJobless Americans are paying millions in unnecessary fees to collect unemployment benefits because of state policies encouraging them to get the money through bank-issued payment cards.
January 29, 2013
The ELNY outrage continuesThe ELNY debacle gets one shade stranger as the attorneys representing ELNY shortfall payees are held in contempt.
January 29, 2013
The ELNY outrage continuesThe ELNY debacle gets one shade stranger as the attorneys representing ELNY shortfall payees are held in contempt.
January 28, 2013
Leonardi assumes NAIC international regulatory mantleConnecticut Insurance Commissioner Tom Leonardi will fill the seat left by Terri Vaughan as a state regulatory.
January 24, 2013
Disability Insurance Observer: GINAYou find yourself getting to know her a lot better.
January 23, 2013
Nelson sticks to NAIC preservation of state systemThe former senator will serve as a guard against federal incursion of state-based regulation.
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.