State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Playing by the rules
By David PortTo 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
January 23, 2009
NCOIL Leaders Call For Caution On Capital ProposalTwo top officers of the National Conference of Insurance Legislators want insurance regulators to delay action on an American Council of Life Insurers capital and surplus proposal.
January 06, 2009
Connecticut Allows Pens And CalendarsRegulators in a New England state say insurers and producers there can use gifts with a fair market value of less than $15 to promote ...
January 05, 2009
In The IA Crystal Ball For 2009What does 2009 hold for the index annuity industry? Here are some likely possibilities.
January 05, 2009
Garden State Sticks With Support Services VendorThe state of New Jersey has awarded a 3-year Medicaid program support services contract extension to Unisys Corp.Unisys, Blue Bell, Pa., will continue to serve ...
January 05, 2009
As State Deficits Loom, Regulators Tighten BeltsInsurance departments are responding to the recession by working to hold down spending.But many departments have their own sources of funding that are separate from ...
January 05, 2009
As State Deficits Loom, Regulators Tighten BeltsInsurance departments are responding to the recession by working to hold down spending.But many departments have their own sources of funding that are separate from ...
January 04, 2009
In The IA Crystal Ball For 2009What does 2009 hold for the index annuity industry? Here are some likely possibilities.