State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Top 10 Worst Cities for Educated Job Seekers
By Marlene Y. SatterWhen jobs are scarce, it always helps not to have the deck stacked against you. Some places offer fewer opportunities, particularly for more educated members of the labor force. A look at the worst of them.
January 03, 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...
December 31, 2011
How can investment advisors minimize regulatory risk?The following list is the North American Securities Administrators Association’s (NASAA) recommendations for the best practices that investment advisers…
December 22, 2011
AAA: State Regulation Framework Just Peachy for Contingent Annuities, But What if They're Hybrids?The American Academy of Actuaries supports contingent annuities as an annuity product that should be and can be best regulated by the states, and the show why in the latest actuarial product throwdown among regulators, states and the industry. However, New Jersey, which thinks the product is a hybrid between...
December 22, 2011
Analysts: For States, Federal Exchange Services Might Be CheaperHHS officials are thinking of having their exchange -- the FFE -- pay for itself by charging user fees.
December 22, 2011
Analysts: For States, Federal Exchange Services Might Be CheaperHHS officials are thinking of having their exchange -- the FFE -- pay for itself by charging user fees.
December 21, 2011
Advisors Urged to Act Now on ComplianceAdvisors, listen up: if you arent already doing all the things your compliance manual and supervisor say you are, youd better start.
December 20, 2011
NAIC Pursues Comprehensive Market Conduct Assessment and Perhaps, ConsolidationThe NAIC's Market Reg Committee will be reviewing the state of market regulation in 2012 with an eye toward creating a system of reporting enforcement data to the central NAIC system, like federal regulators compile, while Dodd-Frank and the long shadow of Washington-based regulation bring major consumer protection battles to...