State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
What were they thinking?
By Steven McCarty"What was he thinking?" I heard this frequently after Eliot Spitzer resigned. I won't retell the former New York governor's tawdry downfall. But I will say his conduct highlights two qualities inappropriate in a public
May 28, 2008
An insider's view: Craig RandallFor the initial issue of our newest eNewsletter, Market Conduct & Suitability, Senior Market Advisor editor Daniel D. Williams spoke with Craig Randall of Randall Marketing Group and 2007 Senior Market Advisor's Advisor of the Year to get his
May 28, 2008
Boomers on the move - and not to where you'd thinkThink all retirees flock to Florida? Not so, reports the Associated Press. Retirees are increasingly likely to pick snow over sunshine for their later years. The...
May 27, 2008
An insider's view: Craig RandallFor the initial issue of our newest eNewsletter, Market Conduct & Suitability, Senior Market Advisor editor Daniel D. Williams spoke with Craig Randall of Randall Marketing Group and 2007 Senior Market Advisor's Advisor of the Year to get his
May 27, 2008
Consumer Rep Questions NAIC MeetingA consumer advocate is asking why the National Association of Insurance Commissioners did not include consumer representatives in a recent meeting that dealt with the ...
May 22, 2008
P-C Leader Warns Of OFC EffortsUnless states institute meaningful reforms quickly, Congress probably will create a federal insurance regulation system soon, a property-casualty trade group head said Wednesday.David Sampson, president ...
May 22, 2008
P-C Leader Warns Of OFC EffortsUnless states institute meaningful reforms quickly, Congress probably will create a federal insurance regulation system soon, a property-casualty trade group head said Wednesday.David Sampson, president ...
May 15, 2008
Iowa Issues Replacement Form BulletinHawkeye State regulators say insurers should do a better job of complying with life insurance and annuity replacement regulations.Iowa Insurance Commissioner Susan Voss has issued ...