State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NCOIL Writes In Opposition To OFC Concept
By Arthur D. PostalThe National Conference of Insurance Legislators cites potential losses of jobs and state revenue as reasons to oppose creating an optional federal charter for insurers.
February 12, 2009
Consumer Group Attack OFC ConceptJurisdiction over insurance regulation should remain with the states, and switching to an optional federal insurance charter system would be tantamount to deregulation, a consumer group writes
February 11, 2009
Malone: The Current Oversight System WorksState insurance regulation is here to stay, an investment banker says.
February 11, 2009
Malone: The Current Oversight System WorksState insurance regulation is here to stay, an investment banker says.
February 06, 2009
State Lawmakers Seek Swap OversightCredit default swaps are in the sights of some NCOIL members.
February 06, 2009
State Lawmakers Seek Swap OversightCredit default swaps are in the sights of some NCOIL members.
February 01, 2009
Playing by the rulesTo play by the rules, you have to know the rules. For many advisors, that means becoming familiar with such imposing documents as the FINRA Manual, a sprawling and still-growing amalgamation of legalese (posted online at finra.complinet.com) that at
February 01, 2009
Presidential DirectionsThe Oval Office isn't the only place with a new occupant. The National Association of Insurance Commissioners (NAIC) is under the command of a new...