State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
EIAs To Remain State Regulated
By Arthur D. PostalConferees on financial services regulation today agreed to keep equity indexed annuities state-regulated.
June 08, 2010
VSP Offers Vision Coverage In All StatesPhysicians Mutual Insurance Company, a writer of individual life and health products, is launching an advertising campaign that will include broadcast, print and Web components.
June 08, 2010
NAIC Backs House Version of H.R. 4173The National Association of Insurance Commissioners says it prefers the House version of a major financial services bill, H.R. 4173, the Wall Street Reform and Consumer Protection Act.
June 02, 2010
Johnson New Chief Compliance Officer at Woodbury Financial ServicesIndustry veteran will lead compliance and supervisory organizations for the Minnesota-based broker/dealer.
June 01, 2010
Disorder on the BorderRemember the giant sucking sound? That was the catchy campaign slogan on which businessman H. Ross Perot ran as an independent in the 1992 presidential...
June 01, 2010
Independence's IssuesI have had the privilege of assisting many independent broker/dealers (IBDs) and their representatives throughout the country for many years. Like the wirehouses, IBDs and...
June 01, 2010
A Tale of OriginsWhen Alexander Hamilton and Aaron Burr dueled at dawn on July 11, 1804, the fight was not just between a former Treasury secretary and a...
May 26, 2010
Producer Groups Sue Over N.Y. Department Comp RegsOrganizations that represent New York state agents and brokers have gone to court to try to block implementation of a new compensation disclosure rule.