State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NAVA CEO Sees No Need for Additional Insurance Regulator
By Bob KeaneWeatherford also reaffirmed NAVA's commitment to the consumer protection principles of transparency, suitable sales and education, and training.
June 14, 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 13, 2009
LTCP Training Update -- Shifting Focus: Ongoing TrainingIn the roll-out of new LTCI/LTC training requirements, many states' requirements are place for a year or more. Here, the focus is shifting from initial training to ongoing training, which must be taken every two years.
June 12, 2009
LTCP Training Update -- Shifting Focus: Ongoing TrainingIn the roll-out of new LTCI/LTC training requirements, many states' requirements are place for a year or more. Here, the focus is shifting from initial training to ongoing training, which must be taken every two years.
June 11, 2009
NAIC Panels Set AgendasA National Association of Insurance Commissioners working group has tried to decide which state producer licensing requirements are consistent with efforts to make the requirements more uniform.
June 11, 2009
NAIC Panels Set AgendasA National Association of Insurance Commissioners working group has tried to decide which state producer licensing requirements are consistent with efforts to make the requirements more uniform.
June 10, 2009
Vaughan Praises Mixed ModelHaving several different regulators use several different approaches to oversee an insurer may help detect problems early.
June 09, 2009
Vaughan Praises Mixed ModelHaving several different regulators use several different approaches to oversee an insurer may help detect problems early.