State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
The 2012 Elections: Deal with it
By Thomas ManganEmployers and their benefits advisors now have a LONG to-do list.
November 09, 2012
New W.Va. attorney general wants say on PPACAPatrick Morrisey won many more votes in his state than Barack Obama did.
November 06, 2012
Election 2012: The eleventh hourFighting to the end, both tickets spent Tuesday in Cleveland.
November 06, 2012
Election 2012: The eleventh hourFighting to the end, both tickets spent Tuesday in Cleveland.
November 02, 2012
NAIC, BCBSA to OPM: Don't override state authorityPPACA empowers OPM to negotiate and enter into contracts with MSPs, but does not provide any exemption from state laws.
October 31, 2012
NASAA to advisors: Help seniors avoid investment trapsTo help everyone stay safe, the North American Securities Administrators Association (NASAA) has released its annual list of products that threaten to trap investors.
October 31, 2012
SuitabilityNew annuity sale regs require a lot of investigation into client backgrounds and products.