State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Get prospects to return your calls
By staff WriterMore than once, state the name of a prominent person who referred you. Open the call, not with your own name, but with the referring party's name. Mention a specific point you want to talk with the prospect about. Mention
July 02, 2008
Insurers Continue Database Project FightTrade groups are continuing to battle a market conduct data collection project as the National Association of Insurance Commissioners gives the project more attention.Members of ...
June 30, 2008
Regulators tightening use of advisor designationsThe North American Securities Administrators Association has released a model rule prohibiting misleading use of designations in the sale of investment products to senior investors. The measure prohibits the use of senior-oriented designations to
June 29, 2008
NCOIL Seeks State Support To Stop Bill Establishing Federal Insurance OfficeState lawmakers--foreseeing prompt action in the House on legislation creating a federal Office of Insurance Information as soon as Congress returns to work in early ...
June 29, 2008
NCOIL Seeks State Support To Stop Bill Establishing Federal Insurance OfficeState lawmakers--foreseeing prompt action in the House on legislation creating a federal Office of Insurance Information as soon as Congress returns to work in early ...
June 25, 2008
NCOIL Seeks Allies For Insurance Office FightState lawmakers are trying to persuade state executive branch officials to help oppose the creation of a federal Office of Insurance Information.The National Council of ...
June 25, 2008
NCOIL Seeks Allies For Insurance Office FightState lawmakers are trying to persuade state executive branch officials to help oppose the creation of a federal Office of Insurance Information.The National Council of ...
June 24, 2008
An insider's view: Donald WaltersFor this issue of our newest eNewsletter, Market Conduct & Suitability, Senior Market Advisor editor Daniel D. Williams spoke with Donald Walters of the Insurance Marketplace Standards Association (IMSA), the standards setting and compliance