State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
The Missing Link: a Fiduciary Standard and Harmonizing BD Regs
By Bob ClarkIs extending a fiduciary standard to all advice givers compatible with harmonizing regulation of brokers and investment advisors?
April 07, 2011
New York Insurance Dept. Tightens StandardsSuitability and senior designation standards for the sale of investment products have been tightened by the New York Insurance Department under new regulations finalized last month.
April 01, 2011
New Hampshire Department Recommends Taking Exchange GrantNew Hampshire Insurance Department officials say taking a $1 million federal health insurance exchange planning grant might be a good idea.
March 31, 2011
New Hampshire Department Recommends Taking Exchange GrantNew Hampshire Insurance Department officials say taking a $1 million federal health insurance exchange planning grant might be a good idea.
March 25, 2011
New Annuity Suitability Penalties Announced by StatesNational Conference of Insurance Legislators' (NCOIL) executive committee voted unanimously March 6 to adopt the NAIC Suitability in Annuity Transactions Model Regulation.
March 23, 2011
PPACA: Pa. Regulator Sees UncertaintyMichael Consedine, the acting Pennsylvania insurance commissioner, says one challenge for a state regulator trying to implement the Patient Protection and Affordable Care Act is the many gaps in federal PPACA regulation
March 10, 2011
PPACA, State-by-State: A Q&A with West Virginia Insurance Commissioner Jane L. ClineQ: What challenges do you anticipate your particular state running into with upcoming health care reform provisions?
March 09, 2011
PPACA, State-by-State: A Q&A with West Virginia Insurance Commissioner Jane L. ClineQ: What challenges do you anticipate your particular state running into with upcoming health care reform provisions?