State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
As NASAA’s New President, My Top Priorities: SRO and ‘The Switch’
By Jack HersteinIt looks like Rep. Bachus draft SRO bill would nationalize the regulation of small- and mid-sized advisors. NASAA believes this would be a costly mistake that will not benefit Main Street investors.
September 07, 2011
Changes Rattle Northwestern CarrierSystem change problems and problems with implementing new federal laws are affecting service levels at Regence Group, the company says.
September 06, 2011
Nonprofits Brighten Employment Picture: Johns Hopkins ResearchWith President Barack Obama set to address a joint session of Congress on Thursday about the state of nations economy and the dismal employment picture, new data released Friday show that nonprofit employers actually added jobs during the worst part of the recent recession.
August 31, 2011
Partnership LTC: The Impact and Implications of Exchange OffersSince 2006, Partnership LTCI has spread across the nation.
August 30, 2011
Partnership LTC: The Impact and Implications of Exchange OffersSince 2006, Partnership LTCI has spread across the nation.
August 30, 2011
News Analysis: Are We in a Recession?Consumer confidence plunged to two-year lows in August, stoking predictions and outright declarations that the economy has slipped into recession. The latest Consumer Confidence Index reading of 44.5 is lower than the 53.9 average for the 2007-2009 recession.
August 21, 2011
Madoff Whistleblower Markopolos Slams Banks Over Pension Fund FeesBernie Madoff whistleblower Harry Markopolos is back in the news, this time taking on the banking sector over the fees they charge in retirement plans.
August 16, 2011
California Denies Property Tax Relief to Many NonprofitsCalifornia nonprofit organizations in increasing numbers are being denied property tax exemptions, The New York Times reported Monday.