State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Johnson New Chief Compliance Officer at Woodbury Financial Services
By staff WriterIndustry veteran will lead compliance and supervisory organizations for the Minnesota-based broker/dealer.
June 01, 2010
A Tale of OriginsWhen Alexander Hamilton and Aaron Burr dueled at dawn on July 11, 1804, the fight was not just between a former Treasury secretary and a...
May 26, 2010
Producer Groups Sue Over N.Y. Department Comp RegsOrganizations that represent New York state agents and brokers have gone to court to try to block implementation of a new compensation disclosure rule.
May 20, 2010
Florida, California, Texas agents: Share your thoughtsAre you an active agent licensed to sell life and/or health insurance in the states of Florida, California, or Texas? Then we want to hear ...
May 20, 2010
Florida, California, Texas agents: Share your thoughtsAre you an active agent licensed to sell life and/or health insurance in the states of Florida, California, or Texas? Then we want to hear ...
May 17, 2010
In Dodd Bill, Senators Support State Securities Role in FSOCIn Dodd Bill, Senators Support State Securities Role in FSOC
May 03, 2010
NAIC Panel Questions Reliance On Rating AgenciesThe National Association of Insurance Commissioners should work with states to reduce state-law reliance on the big credit rating agencies, an NAIC panel says.
May 03, 2010
NAIC Panel Questions Reliance On Rating AgenciesThe National Association of Insurance Commissioners should work with states to reduce state-law reliance on the big credit rating agencies, an NAIC panel says.