State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
IIPRC Offers Prorated Fees
By staff WriterInsurers can register to use the Interstate Insurance Product Regulation Commission for the rest of the year for just $2,500.
June 29, 2009
The Obama Rules - what they mean to advisorsOn June 17, President Obama unveiled a sweeping package of regulations aimed at the financial services industry. A brief summary of the regulations includes: Letting the states retain much of their current regulatory oversight. Creation
June 29, 2009
NAVA CEO Sees No Need for Additional Insurance RegulatorWeatherford also reaffirmed NAVA's commitment to the consumer protection principles of transparency, suitable sales and education, and training.
June 18, 2009
The unbearable lightness of beingI feel like Norman Fell. T.V.'s Mr. Roper had a scene-stealer with Bob Newhart in the film adaptation of Catch-22. Fell's Sgt. Towser takes such a...
June 15, 2009
NAFA Pans FINRA DraftA regulation proposed by the Financial Industry Regulatory Authority could expand suitability mandates so broadly that they would cover all investment product recommendations.
June 14, 2009
NAFA Pans FINRA DraftA regulation proposed by the Financial Industry Regulatory Authority could expand suitability mandates so broadly that they would cover all investment product recommendations.
June 13, 2009
LTCP Training Update -- Shifting Focus: Ongoing TrainingIn the roll-out of new LTCI/LTC training requirements, many states' requirements are place for a year or more. Here, the focus is shifting from initial training to ongoing training, which must be taken every two years.
June 12, 2009
LTCP Training Update -- Shifting Focus: Ongoing TrainingIn the roll-out of new LTCI/LTC training requirements, many states' requirements are place for a year or more. Here, the focus is shifting from initial training to ongoing training, which must be taken every two years.