State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
IRI Launches Research Initiative to Support NARAB
By Arthur D. PostalThe IRI plan is to launch a new research initiative that would identify regulatory burdens facing broker-dealers that impede their ability, and financial advisors willingness, to sell such products as annuities.
June 07, 2012
State Insurance Department Budgets Slip for Fiscal Year 2013: NAICCalifornia, New York and Texas remain behemoths of staffing while other states feel the pinch of cutbacks.
June 07, 2012
State Insurance Department Budgets Slip for Fiscal Year 2013: NAICCalifornia, New York and Texas remain behemoths of staffing while other states feel the pinch of cutbacks.
June 06, 2012
New York Move Makes Some LTCI More PortableNew York will now treat many states' LTC partnership policies as if they were homegrown partnership policies, and vice versa.
June 06, 2012
SRO Hearing in the HouseBroad fissures within the investment advisory community over how the industry should be regulated going forward were exposed today at a House hearing.
June 06, 2012
SRO Hearing in the HouseBroad fissures within the investment advisory community over how the industry should be regulated going forward were exposed today at a House hearing.
June 01, 2012
New York Forges Unclaimed Property RuleNew York has imposed new rules on insurers regarding identifying recently-deceased policyholders.