State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Worth More Than A Dime
By Linda KocoFinally, the moves of non-insurance regulators into the business of state insurance regulation will get a going over. In the process, so too will the ...
April 23, 2007
NCOIL To Study State RegulationThe National Conference of Insurance Legislators, Troy, N.Y., is launching what it says will be a thorough study of state insurance regulation.The Study on State ...
April 20, 2007
Fla. Insurance Official ResignsAn official of the Florida Office of Insurance Regulation has resigned following reports the department is being investigated for improper political activity.Insurance Commissioner Kevin McCarty ...
April 08, 2007
Regulators Defend Record On LTC OversightAsked for their reaction to a March 26 New York Times article that said long term care insurers are denying thousands of claims of elderly ...
April 08, 2007
Regulators Defend Record On LTC OversightAsked for their reaction to a March 26 New York Times article that said long term care insurers are denying thousands of claims of elderly ...
April 01, 2007
What if the Horse Has Left the Barn?It is ideal to have a new employee sign a restrictive covenant when he begins his employment. But what if you don't do so at...
April 01, 2007
A Compliance CultureReceNt NASD actions have led to increased compliance efforts on the part of many firms. The Financial Services Institute has released "Independent Broker-Dealers: Building a...
April 01, 2007
What's the Real Threat to Wall Street?Worries about erosion in Wall Street dominance of global financial markets have been getting a lot of play lately. The Treasury department has been reviewing...