State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Red Flag Reminder
By National Ethics AssociationThe low down on investment advisor state registration
May 29, 2012
Guide a Client to ChangeIf we truly want to affect change in others then it is about them and not about us.
May 29, 2012
Bitter Primaries May Undercut GOP Senate Hopes in 3 StatesThe U.S. Chamber is blasting Nelson of Florida for backing PPACA, but Nelson, Casey and Stabenow have more cash than their Republican rivals.
May 29, 2012
Bitter Primaries May Undercut GOP Senate Hopes in 3 StatesThe U.S. Chamber is blasting Nelson of Florida for backing PPACA, but Nelson, Casey and Stabenow have more cash than their Republican rivals.
May 25, 2012
Is the U.S. a Declining or Gutsy World Power? News AnalysisIt is precisely the lack of guts today that has furthered economic decline and fomented geopolitical instability, and that is unworthy of the military heroes whose sacrifices enabled a more vigorous America.
May 22, 2012
New York State LTCI Bill Stays in CommitteeS228A-2011 would help New York state residents who use retirement plan cash to buy long-term care insurance.
May 22, 2012
New York Forges Unclaimed Property RuleNew York has imposed new rules on insurers regarding identifying recently-deceased policyholders.
May 21, 2012
NAIC Grapples with Collecting, Sharing Data for QHP Oversight in ExchangesSERFF, the Market Conduct Annual Statement and the possible creation of unique state-specific accreditation bodies could help fulfill exchange requirements for qualified health plans.