State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
More Super Bowl success: For advisors the little things are huge
By Daniel WilliamsIn last week's blog, I talked about preparing for the big game and how quarterbacks (and advisors) needed a "flight plan" to succeed.
February 03, 2011
PPACA, State-by-State: A Q&A with North Dakota Insurance Commissioner Adam HammAs part of a regular series featuring interviews with state regulators, Hamm discusses his state's challenges and hopes when it comes to health care reform
February 03, 2011
Probe of Banks Overcharging Pension Plans WidensState attorneys general in California, Virginia, Tennessee and Florida broadened their investigations into whistleblower allegations that public pension funds in the U.S. were overcharged for currency conversion by tens of millions of dollars.
February 02, 2011
ManufacturingIt's popular to say that manufacturing in the United States is dead, but, of course, such statements are very much an exaggeration, aren't they?
February 02, 2011
PPACA, State-by-State: A Q&A with North Dakota Insurance Commissioner Adam HammAs part of a regular series featuring interviews with state regulators, Hamm discusses his state's challenges and hopes when it comes to health care reform
February 02, 2011
PPACA, State-by-State: A Q&A with South Dakota Director of Insurance Merle D. ScheiberAs part of a regular series featuring interviews with state regulators, Scheiber discusses his state's challenges and hopes when it comes to health care reform
February 02, 2011
State Securities Regulators Lay Out 2011 Legislative AgendaState securities regulators laid out their legislative agenda on Wednesday, and among their top priorities will be to fend off attempts to weaken Dodd-Frank and to “push hard” to encourage members of Congress to impose user fees on advisors to help the SEC fund advisor exams.
January 26, 2011
Kick the tiresPeter Lynch, one of the best stock pickers in the biz and the fellow who was, for years, at the helm of Fidelity's Magellan fund, had the big idea of walking around the mall to check out the stores -- what stores attracted customers?