State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
N.Y. Insurers Sue Over State Use Of Assessments
By Staff WriterThe New York Insurance Association Inc. has gone to court to try to change the way New York state handles insurance assessments.
January 01, 2010
How to stay out of hot waterIf you're registered as an investment advisor, you'd best pay attention to
December 31, 2009
How to stay out of hot waterIf you're registered as an investment advisor, you'd best pay attention to
December 29, 2009
Oppenheimer, Illinois Settle 529 Plan DisputeOppenheimerFunds Inc. and the state of Illinois announced they have agreed to settle the state's investigation of the way Oppenheimer and 3 subsidiaries managed part of Illinois' 529 college savings program.
December 29, 2009
Oppenheimer, Illinois Settle 529 Plan DisputeOppenheimerFunds Inc. and the state of Illinois announced they have agreed to settle the state's investigation of the way Oppenheimer and 3 subsidiaries managed part of Illinois' 529 college savings program.
December 29, 2009
Recession alters boomer migrationForget Naples, Fla. or Scottsdale, Ariz. for your next satellite office. Lubbock, Texas might be a better fit. A recent Wall Street Journal story finds...
December 23, 2009
7 Major Insurance-Related Bills of 2009According to a study by the Insurance Compliance Solutions group at Wolters Kluwer Financial Services, 2009 was the biggest year in recent history for insurance-related regulatory reform.
December 22, 2009
NCOIL Pans NAIC National Commission ProposalThe officers of the National Conference of Insurance Legislators say a National Association of Insurance Commissioners coordination proposal would weaken state authority.