State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Florida’s Notice-Filing Legislation Affects Advisors Nationwide
By John SullivanTraditionally, financial services firms would have to close pending approval of a notice filing for actions such as changing BDs or moving offices.
April 08, 2013
Governance procedures to get their own model lawConfidentiality is a many-headed hydra," says Susan Donegon, Vermont insurance commissioner, on balancing insurers' protection with regulators' needs for review.
April 08, 2013
SABIR-rattling at the NAIC and beyondSABIR says the threat of federal regulation usurping state regulation and states' rights has never been stronger.
April 08, 2013
SABIR-rattling at the NAIC and beyondSABIR says the threat of federal regulation usurping state regulation and states' rights has never been stronger.
April 07, 2013
Insurance regulators unveil plan to institute PBRDepartment resources, RBC requirements and captives/SPVs remain knots the task force must untangle.
April 05, 2013
After Stockton, Economist Sees More Pain in California and BeyondFor a broader look at the municipal finance crisis affecting California and the nation, AdvisorOne spoke with Bill Watkins, a veteran economic forecaster.
April 01, 2013
States getting FFEs have a lot of state-federal role wrangling to doThe NAIC's Working Group has charged itself with providing a forum for discussion of and guidance on the alternatives to implementing a state-based exchange.