State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Pi?ata Time
By Steve PiontekIt's weeks like this--when there's a veritable explosion of lawsuits, investigations, regulatory demands and accusations--that you begin to wonder how industry leaders and just plain ...
February 01, 2006
Plan for the Winnebago setMany Americans, especially retirees, are choosing to spend their time in more than one state. Traditionally called snowbirds, these clients present advisors with a unique set of considerations not typically present with clients who are permanently
January 31, 2006
Plan for the Winnebago setMany Americans, especially retirees, are choosing to spend their time in more than one state. Traditionally called snowbirds, these clients present advisors with a unique set of considerations not typically present with clients who are permanently
January 26, 2006
HHS Acknowledges Drug Program Start-Up ProblemsThe federal government has agreed to reimburse at least 20 states that have been providing emergency medicines for low-income seniors and disabled people who could ...
January 25, 2006
HHS Acknowledges Drug Program Start-Up ProblemsThe federal government has agreed to reimburse at least 20 states that have been providing emergency medicines for low-income seniors and disabled people who could ...
January 24, 2006
ACLI Board Supports Suitability For AllThe board of the American Council of Life Insurers will urge states to extend product suitability standards for annuities to all consumers, not just older ...
January 20, 2006
Broker-Dealers And Insurers Ask Feds For More TimeLarge financial services groups want the U.S. Securities and Exchange Commission to give them 2 extra months to comply with a new rule dealing with ...
January 15, 2006
Agents, Insurers Ink Comments On NAIC Fingerprint ModelInsurers and agents are hoping to put their imprint on a fingerprint model before it advances further toward adoption by state insurance regulators.Reaction to the ...