State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
PPACA: 19 states missed essential benefits deadline
By Allison BellA state health policy group finds that nine states have taken no action on the EHB package.
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.
September 13, 2012
PPACA: What's Up with the Multi-State Plans?A hearing witness has many questions for HHSsome about potential 800-pound gorillas.
September 12, 2012
Annuity Suitability: Assessing Compliance RiskRecent market conduct exams in California and Ohio provide a road map for insurers on how to meet annuity suitability requirements.
September 12, 2012
Annuity Suitability: Assessing Compliance RiskRecent market conduct exams in California and Ohio provide a road map for insurers on how to meet annuity suitability requirements.