State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Creating congruency by ?walking my talk'
By staff WriterWe have all had the experience of having days where we are on a roll. We are in the flow and people just can't help but want to do business with us. We have also all had the experience of feeling like we couldn't sell a machine gun in a...
July 25, 2007
Lawmakers Unveil House OFC BillReps. Melissa Bean and Ed Royce have introduced a bill that could give insurers, agents and brokers the option to choose between state regulation and ...
July 25, 2007
Minn. Regulators Explain Partnership Training RulesThe Minnesota Department of Commerce has established education requirements for producers who want to participate in the Minnesota Long-Term Care Insurance Partnership Program.Minnesota LTC partnership ...
July 23, 2007
FSI Endorses STP InitiativeThe Financial Services Institute has endorsed NAVA Inc.'s new straight-through processing initiative for selling annuities.Insurers and distributors that belong to NAVA, Reston, Va., developed the ...
July 23, 2007
FSI Endorses STP InitiativeThe Financial Services Institute has endorsed NAVA Inc.'s new straight-through processing initiative for selling annuities.Insurers and distributors that belong to NAVA, Reston, Va., developed the ...
July 23, 2007
Irritation With NAIC Surfaces At NCOIL MeetingState legislators' irritation with the National Association of Insurance Commissioners surfaced here at many points during the summer meeting of the National Conference of Insurance ...
July 23, 2007
Irritation With NAIC Surfaces At NCOIL MeetingState legislators' irritation with the National Association of Insurance Commissioners surfaced here at many points during the summer meeting of the National Conference of Insurance ...
July 01, 2007
A few good compliance officersAlmost four in 10 financial advisors have been told by compliance officers they could not engage in an activity the advisor knew was both legal and within regulations. Yikes. That is the most troubling finding of a new study of 100 financial