State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Leapfrog the bottom feeders.
By Steven McCartyWell, the heat's been turned up on the issue of sales practices in the senior marketplace.When I heard that U.S. Senate Special Committee on Aging was planning to hold hearings in September, shortly before the second annual Senior Summit, I expected
April 06, 2008
State Insurance Regulators Ready For Fight On Treasury's ProposalState insurance commissioners were uniformly negative in their reaction to the Treasury Department's sweeping proposal that calls for an optional federal charter and a national ...
April 02, 2008
Insurance Commissioners Pan Treasury ReportState insurance commissioners are objecting to a Bush administration proposal to give insurers and producers the option to choose to be regulated by a federal ...
April 02, 2008
Insurance Commissioners Pan Treasury ReportState insurance commissioners are objecting to a Bush administration proposal to give insurers and producers the option to choose to be regulated by a federal ...
April 01, 2008
The 4 Main Components of ComplianceThirty-two: That's the official number of compliance steps that affect your sales of life insurance, annuities, and other financial products. Almost every agent, however, is in violation of at least one of these guidelines, rules,
April 01, 2008
Democrats Split On Treasury ProposalThe Treasury Department's financial services reform "blueprint" report is getting a mixed reaction from key members of Congress.Treasury Secretary Henry Paulson unveiled the blueprint report ...
March 31, 2008
NAIC Leaders Tell Treasury They Help ConsumersState regulation of insurance should continue because regulators help consumers, according to officials at the National Association of Insurance Commissioners."We have a good story to ...
March 31, 2008
The 4 Main Components of ComplianceThirty-two: That's the official number of compliance steps that affect your sales of life insurance, annuities, and other financial products. Almost every agent, however, is in violation of at least one of these guidelines, rules,