State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
The Uncertain Future of an Advisory Profession
By Bob ClarkA comment on 'What if Doctors Could Act Like Advisors?" leads to short history lesson on advisor trademarks and licensing, and how that history informs the fiduciary debate.
January 31, 2012
Hearing Set on Death Master FileA House panel will hold a hearing Thursday on the accuracy and uses of the Social Security Administrations (SSA) Death Master File (DMF).
January 25, 2012
State PPACA Efforts VaryFour of the slow implementers -- Florida, Georgia, Ohio and Texas -- have 7 million uninsured residents.
January 20, 2012
Roubini, Bremmer Sound Off on Global Economy, IranNew York University's Nouriel Roubini and Eurasia Groups Ian Bremmer spoke with Bloomberg Television's Margaret Brennan about the state of the global economy.
January 13, 2012
Don't Get Mad ... Get EducatedMany states now require brokers/producers take a course on annuity suitability. If you dont, your clients application will be rejected.
January 13, 2012
Don't Get Mad ... Get EducatedMany states now require brokers/producers take a course on annuity suitability. If you dont, your clients application will be rejected.
January 05, 2012
How States Fared on Unemployment Aid ApplicationsIn most states, fewer people applied for unemployment benefits in the last week of 2011, pushing the national average for the month of December to its lowest level in three and a half years.
January 04, 2012
State vs. Federal, Round ThreeFollowing a FIO conference on the nature of insurance regulation, and news of legislation aiming to strip federal offices of their power to regulate insurers, the American Council of Life Insurers (ACLI) said on December 14 that progress has been slow in making the state regulatory system uniform across all...