State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Suitability
By David PortNew annuity sale regs require a lot of investigation into client backgrounds and products.
October 30, 2012
Kaiser finds more Medicaid managed LTCTen states are adopting managed Medicaid LTC programs in fiscal year 2013.
October 29, 2012
USAA survey: Holiday shoppers plan to buy more this year vs. lastThe report indicates that consumers plan to buy more gifts this year as their sentiment toward holiday budgeting has become more positive in 2012 when compared to 2011 (53 percent vs. 45 percent).
October 26, 2012
Romney to promise to focus on "kitchen-table" concernsThe candidate is saying he will get away from issues like characters on Sesame Street.
October 26, 2012
Romney to promise to focus on "kitchen-table" concernsThe candidate is saying he will get away from issues like characters on Sesame Street.
October 26, 2012
LIBOR Case Subpoenas Expand to 16 BanksNow the list of subpoenaed banks has expanded to a total of 16, including Socit Gnrale and Royal Bank of Canada (RBC), and more attorneys general are coming in on the investigation.
October 25, 2012
Week in Pictures | October 26, 2012The final presidential debate is over and now all eyes are on Ohio and the Fiscal Cliff as the country braces for election day. This and more in the Week in Pictures.
October 25, 2012
Enforcement Actions Against Advisors Nearly Doubled: NASAAPrison time resulting from state-initiated actions rose from the year before, and the number of advisors and BDs removed or barred from the industry spiked as well, according to NASAAs annual enforcement report.