State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Consider These . . .
By Staff WriterThere are myriad steps breakaway brokers must consider when opening up their own firms. Tom Giachetti, a partner with the law firm Stark & Stark...
October 26, 2005
chartsforcoverspreadStates with above average percentage of Asians (U.S. national average is 4.2%)Hawaii 58%California 12%Washington 6.7%New York 6.2%New Jersey 6.2%Nevada 5.6%Alaska 5.2%Maryland 4.5%Virginia 4.3%Source: ...
October 21, 2005
PacifiCare Widens Dental, Vision PlansPacifiCare Health System Inc. says it has expanded its dental and vision unit to most states.[@@]PacifiCare Dental & Vision, Cypress, Calif., is now offering ...
October 09, 2005
Friend Or Foe?Great rivalries pepper human history--Sparta and Athens; Montagues and Capulets; Red Sox and Yankees.Whether federal lawmakers and state insurance regulators will join these ranks is ...
October 01, 2005
The Local SolutionTip O'Neill said all politics is local. The corollary for financial planners and investment advisors--at least for those who are independent and independent minded--is that...
September 21, 2005
Document Destruction Could Prove PainfulWith emphasis on transparency, carriers must maintain paper trail to avoid penaltiesFrom Eliot Spitzer probes to the evolving landscape of individual state laws and ...
September 14, 2005
Making The CaseMaking The CaseNow that the dust, or perhaps more aptly, the water line, is beginning to settle in the aftermath of Hurricanes Katrina and ...
September 04, 2005
WellCare Offers No-Deductible R PlansWellCare Health Plans Inc today offered details of its 3 Medicare-Medicaid prescription drug plans.[@@]WellCare, Tampa, Fla., is one of 10 companies approved by the ...