State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
...is Paved with Good Intentions
By Warren S. HerschImagine a regulation that, implemented for the purpose of protecting consumers, actually has the opposite effect.
June 24, 2010
House, Senate Agree to Retain State Oversight of EIAsHouse conferees agreed Thursday, June 24, with the Senate in passing the amendment offered by Senator Tom Harkin's (D-Iowa) which retained state regulation of equity-indexed annuities (EIAs).
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.