State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
FINRA Chair Comes To NAVA
By Allison BellRick Ketchum told annuity industry executives Monday that regulation of all types of annuities should be more uniform.
June 04, 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 04, 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 01, 2009
Don't use rumors to drive replacement salesWhen you hear a negative rumor about a life insurer's financial health, what do you do?
June 01, 2009
States' Basic ProtectionWhile coverage available from the 52 state guaranty associations (including the District of Columbia and Puerto Rico) differs from state to state, basic limits of...
June 01, 2009
Expert's Corner: Complacency, Risk and the SECAll too often advisors become complacent with respect to compliance matters, but all registered investment advisors must continue to recognize that compliance is an ongoing...
May 31, 2009
Don't use rumors to drive replacement salesWhen you hear a negative rumor about a life insurer's financial health, what do you do?
May 29, 2009
NCOIL Defends State RoleNational Conference of Insurance Legislators officers have sent a letter urging key congressional committee leaders to protect state efforts to regulate insurance markets.