State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
The Registration Numbers
By Staff WriterHere's a breakdown of how, and where, advisors and brokers are registered. The numbers were presented by Melanie Lubin, Maryland's Securities Commissioner, at the ALI-ABA...
January 21, 2007
Agency Grants $23 Million To States To Support More Home-Based LTCThe Centers for Medicare and Medicaid Services will award over $23 million in 2007 to states that move long term care recipients out of institutions ...
January 21, 2007
Agency Grants $23 Million To States To Support More Home-Based LTCThe Centers for Medicare and Medicaid Services will award over $23 million in 2007 to states that move long term care recipients out of institutions ...
January 21, 2007
Managing Compliance Risks Associated With Worksite MarketingWorksite marketing can be profitable for those who invest the time and energy in learning how to efficiently and effectively penetrate it. However, the potential ...
January 19, 2007
529 Tool Crosses Bordersoseph Hurley, founder of Savingforcollege.com, has announced an enhancement to the site's State Tax 529 Calculator. As they have in the past, users supply their state of residence, marital status, and the investment they intend to make in the 529 plan in dollars for the year. The calculator then demonstrates...
January 19, 2007
NAIC Organizes Agenda For 2007The National Association of Insurance Commissioners meeting here could include work on a product regulation group, one regulator says.Officials at the NAIC, Kansas City, Mo., ...
January 19, 2007
NAIC Organizes Agenda For 2007The National Association of Insurance Commissioners meeting here could include work on a product regulation group, one regulator says.Officials at the NAIC, Kansas City, Mo., ...
January 01, 2007
Extraordinary performers' characteristicsPerhaps it's the type of seminar being offered. Holding a seminar that doesn't directly relate to your business can offer something different and conceivably be a greater perceived value. I attended just such a seminar, and one that I would