State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
The unbearable lightness of being
By John SullivanI 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 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.
June 11, 2009
NAIC Panels Set AgendasA National Association of Insurance Commissioners working group has tried to decide which state producer licensing requirements are consistent with efforts to make the requirements more uniform.
June 11, 2009
NAIC Panels Set AgendasA National Association of Insurance Commissioners working group has tried to decide which state producer licensing requirements are consistent with efforts to make the requirements more uniform.
June 10, 2009
Vaughan Praises Mixed ModelHaving several different regulators use several different approaches to oversee an insurer may help detect problems early.
June 09, 2009
Vaughan Praises Mixed ModelHaving several different regulators use several different approaches to oversee an insurer may help detect problems early.
June 09, 2009
FINRA Chair Comes To NAVARick Ketchum told annuity industry executives Monday that regulation of all types of annuities should be more uniform.