State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Probe of Banks Overcharging Pension Plans Widens
By Marlene Y. SatterState attorneys general in California, Virginia, Tennessee and Florida broadened their investigations into whistleblower allegations that public pension funds in the U.S. were overcharged for currency conversion by tens of millions of dollars.
February 02, 2011
PPACA, State-by-State: A Q&A with South Dakota Director of Insurance Merle D. ScheiberAs part of a regular series featuring interviews with state regulators, Scheiber discusses his state's challenges and hopes when it comes to health care reform
February 02, 2011
State Securities Regulators Lay Out 2011 Legislative AgendaState securities regulators laid out their legislative agenda on Wednesday, and among their top priorities will be to fend off attempts to weaken Dodd-Frank and to “push hard” to encourage members of Congress to impose user fees on advisors to help the SEC fund advisor exams.
January 26, 2011
Kick the tiresPeter Lynch, one of the best stock pickers in the biz and the fellow who was, for years, at the helm of Fidelity's Magellan fund, had the big idea of walking around the mall to check out the stores -- what stores attracted customers?
January 24, 2011
Advisor pointer: How to develop charisma in 3 stepsAs a generation, boomers have a common personality type: the "Expressive." They are on a quest for freedom, meaning and new solutions, and are likely to be looking for an advisor with that "spark" or charisma.
January 23, 2011
Advisor pointer: How to develop charisma in 3 stepsAs a generation, boomers have a common personality type: the "Expressive." They are on a quest for freedom, meaning and new solutions, and are likely to be looking for an advisor with that "spark" or charisma.
January 23, 2011
White House Appointments of Immelt, Daley Bring Mixed Reaction From AnalystsOn Sunday’s This Week with Christiane Amanpour on CNN, a discussion of President Obama’s latest appointments as he reshuffled his staff brought favorable and unfavorable comments from guests.
January 20, 2011
PPACA, State-by-State: A Q&A with South Carolina Insurance Director Scott H. RichardsonAs part of a regular series featuring interviews with state regulators, Richardson discusses his state's challenges and hopes when it comes to health care reform