State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Sigh of Relief for EIA Sellers
By Arthur D. PostalFor months, regulators from the SEC have sought to extend that agency's regulatory authority to cover the sale of equity indexed annuities, on the grounds that EIAs derive their value from market movements and as such, are not true insurance products.
June 24, 2010
EIAs To Remain State RegulatedConferees on financial services regulation today agreed to keep equity indexed annuities state-regulated.
June 24, 2010
EIAs To Remain State RegulatedConferees on financial services regulation today agreed to keep equity indexed annuities state-regulated.
June 16, 2010
Is the do-not-call list still an issue for you?Not too long ago, I was helping my daughter with her math homework (heaven help us both) when the phone rang. On the other line was a young lady asking me if I was interested in some new ideas for investing.
June 15, 2010
For Reform Bill, NASAA and CFA Make Last-Minute Fiduciary BidsAs the House and Senate conferees ready to debate the fate of the fiduciary standard on Wednesday, June 16, industry groups are making last-ditch efforts to convince lawmakers to apply fiduciary duty to brokers.
June 08, 2010
VSP Offers Vision Coverage In All StatesPhysicians Mutual Insurance Company, a writer of individual life and health products, is launching an advertising campaign that will include broadcast, print and Web components.
June 08, 2010
NAIC Backs House Version of H.R. 4173The National Association of Insurance Commissioners says it prefers the House version of a major financial services bill, H.R. 4173, the Wall Street Reform and Consumer Protection Act.
June 02, 2010
Johnson New Chief Compliance Officer at Woodbury Financial ServicesIndustry veteran will lead compliance and supervisory organizations for the Minnesota-based broker/dealer.