State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Sircon's ProducerEDGE gives producers the ability to self-manage their compliance
By staff WriterSircon Corporation, Okemos, Mich., has announced the release of its newest web-based compliance service, ProducerEDGE.
January 19, 2010
The Silent Generation, Baby Boomers and the Web, Part 2: 10 e-mail marketing tipsWhat is the most popular online activity for Internet users ages 64 and older? According to the Pew Internet & American Life Project, the answer is: e-mail.
January 13, 2010
N.Y. Insurers Sue Over State Use Of AssessmentsThe New York Insurance Association Inc. has gone to court to try to change the way New York state handles insurance assessments.
January 12, 2010
N.Y. Insurers Sue Over State Use Of AssessmentsThe New York Insurance Association Inc. has gone to court to try to change the way New York state handles insurance assessments.
January 04, 2010
Editor's Choice for the Week of January 4, 2010: 'Twas Poor Reg That Spawned the Recession, Sayeth the Fed ChairmanWhat's happening this week.
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.