State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
AARP To Help Monitor Free Lunches
By Staff WriterTwo national groups have teamed up to encourage seniors to report advisors who promote unsuitable investments at "free-lunch seminars."AARP, Washington, and the North American Securities ...
October 01, 2008
How to market a seminar the right wayThe secret to a successful seminar is diligent planning and marketing. Let's say you are getting ready to produce a life insurance seminar. It would be worth a couple of hours' of attorney's fees to acquaint yourself with your
September 30, 2008
Problems in purging CRD recordsFollowing a recent U.S. Court of Appeals ruling, financial advisors will continue to find it difficult to purge their Central Registration Depository (CRD) records of consumer complaint information following a settlement agreement. This makes it all
September 30, 2008
How to market a seminar the right wayThe secret to a successful seminar is diligent planning and marketing. Let's say you are getting ready to produce a life insurance seminar. It would be worth a couple of hours' of attorney's fees to acquaint yourself with your
September 28, 2008
Paulson's Remarks Draw IreState insurance legislators and regulators as well as consumer representatives reacted angrily to comments made by Treasury Secretary Henry Paulson attacking state insurance regulation. (See ...
September 28, 2008
Compact Commission Votes Down Public Access To Product FilingsA call to open public access to product filings that are pending approval with the Interstate Insurance Product Regulation Commission was voted down by state ...
September 28, 2008
Paulson's Remarks Draw IreState insurance legislators and regulators as well as consumer representatives reacted angrily to comments made by Treasury Secretary Henry Paulson attacking state insurance regulation. (See ...
September 28, 2008
Compact Commission Votes Down Public Access To Product FilingsA call to open public access to product filings that are pending approval with the Interstate Insurance Product Regulation Commission was voted down by state ...