State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NAIC's McCarty and FSOC's Huff Weigh in on FSOC Final Rule for SIFIs
By Elizabeth D. FestaHow much of a role the state regulators will play in SIFI consultations is unclear, although the NAIC expects its involvement to be robust. The final rule seems quieter on that subject.
April 05, 2012
The Low-Down on Investment Advisor State RegistrationThe North American Securities Administrators Association (NASAA) has launched an online resource to help investment advisors switch from federal to state regulation.
April 04, 2012
Advisors Get Online Help to Identify ‘Switch’ Requirements: NASAANASAA said that the resource is located on the association's website and offers, as a convenience for advisors, information on individual state registration requirements.
April 04, 2012
Fiduciary Standard Does Not Increase Costs, Study SaysA study released in early March by two academics goes a long way in settling one of the stickier questions surrounding the fiduciary debate.
April 03, 2012
Good, Bad, BlahThe map shows where consumers are in the most urgent need of private support options.
March 30, 2012
Illinois House Approves Austere Spending LimitsThe spending plan calls for slashing the Medicaid budget by 14%.
March 30, 2012
Illinois House Approves Austere Spending LimitsThe spending plan calls for slashing the Medicaid budget by 14%.