State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
IIPRC Adds Alabama, Nevada
By staff WriterThe Interstate Insurance Product Regulation Commission has signed up two more states and now represents a total of 40 jurisdictions.
June 13, 2011
Best & Worst States for Economic GrowthNorth Dakota tops list of 2010 GDP gainers, while Wyoming is at bottom of Commerce Department survey, with several surprises in between.
May 27, 2011
Roland|Criss Named Registrar for New Fiduciary Standard for CharitiesAs charitable organizations face a new set of fiduciary requirements, Roland|Criss has been appointed registrar of a recently published fiduciary conduct guide for foundations and endowments.
May 18, 2011
Forget Schwarzenegger Scandal, California Tax Receipts Ease Budget BluesWith Arnold Schwarzenegger's "love child" scandal grabbing California's, and the country's, attention, the bigger news for the state of the former governor, which got somewhat trampled, was it's brightened budget picture.
May 16, 2011
Wheels of Progress Turn Slowly in 'Switching' of AdvisorsThe implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act is a massive undertaking. It should come as little surprise that the…
May 05, 2011
CBO: Politics May Favor Deferred CompPolitical pressure to shift to deferred compensation arrangements may be distorting the current discussions about public employee retirement plans, according to officials at the Congressional Budget Office.
May 01, 2011
The Polar BearsI don’t usually write about politics, except when it has a direct impact on financial advice, and this appears to be one of those times.
April 28, 2011
In Securities America Case, States and NASAA Dispute Limits on LawsuitsMassachusetts, Montana and NASAA took action on Thursday to prevent any restrictions on lawsuits associated with two private-placement sales by Securities America, which was put up for sale by Ameriprise Financial on Monday.