State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
5 Problems With Domestic Asset Protection Trusts
By Michael S. FischerDAPTs are seen by some as a more palatable alternative than offshore structures with a similar purpose, but estate planning experts question whether this is the case.
March 23, 2012
JOBS Act Is Dangerously Flawed Product of a Rush to LegislateCongress and the White House are sacrificing investor protection for politics and are in danger of repeating a legislative mistake that has allowed promoters of fraudulent securities offerings to steal millions of dollars from investors since 1996.
March 23, 2012
CFP Board’s Keller Says New ‘Top Cop’ Will Beef Up InvestigationsKeller tells AdvisorOne that Rex Staples, the former general counsel for NASAA who will start his new post on April 9, will help build our capacity to achieve our mission of benefiting the public.
March 22, 2012
HHS Questions 71% of the Rate Hikes ReviewedFederal regulators have had jurisdiction over 61 of the 186 notices of double-digit health premium increases.
March 22, 2012
HHS Questions 71% of the Rate Hikes ReviewedFederal regulators have had jurisdiction over 61 of the 186 notices of double-digit health premium increases.
March 21, 2012
Royce Unsatisfied With NAIC Response, Cites NAIC Role in Multi-State ExamsNAIC Immediate Past President Voss of Iowa and House Financial Services Member Rep. Ed Royce of California cross swords, but not paths at Washington regulatory reform conference
March 21, 2012
Unmired at Last (The Economist)Economy slowly breaking free from the grip of recession.
March 21, 2012
NAIC Clarifies Its RoleThe National Association of Insurance Commissioners (NAIC) is acknowledging in a letter to a member of Congress that it is not a regulatory body, nor a standard-setter, but acts to provide a forum and vehicle for its members, who are standard-setters.