State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Life and Annuity Pros Need a Site Like BrokerCheck, Advocates Say
By Allison BellConsumer advocates want the NAIC to run a site for checking the backgrounds of agents, navigators and others.
March 25, 2025
State Regulators to Congress: Please Kill Treasury's Insurance OfficeState regulators also want Congress to give them a voting seat on the Financial Stability Oversight Council.
March 25, 2025
Barred Broker Charged in Alleged $1.24M Ponzi SchemeMarat Likhtenstein, who was fired from Osaic in 2024, now faces grand larceny charges.
March 20, 2025
Life Advocacy Center Sues California Insurance Regulators Over Complaint DataThe state's department contends that the information requested is confidential.
March 18, 2025
Crooks Are Using Life and Annuity Products to Launder Money, Fraud Tracker SaysCriminals are learning that insurers ask fewer questions than bankers.
March 17, 2025
IRA Contributions Are Surging, but Not for AllInputs are up a little for lower-income workers and a lot for those younger than 40.
March 11, 2025
State Regulators Might Make Annuity Issuers' Risk Scores SecretA life insurer and a trade group are trying to keep risk-based capital ratios public.
March 10, 2025
Ex-Banker Accused of Killing BofA Exec Faces Added ChargesThe "special allegation" charges mean Anthony Duwayne Turner could face the death penalty if convicted.