State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
GAO Faults State Regulators Terrorism Planning
By Arthur D. PostalState insurance regulators should work to ensure systems are in place to deal with a terrorist attacks, the Government Accountability Office warns.[@@]In a report ...
December 05, 2005
SEC's Future Focus: Conflicts of InterestAt Wealth Advisor Summit, the talk was about doing the right thing
December 04, 2005
Last LaughI'm sure I'm not the only person to see the unconscious irony in the hissy fit that Walter Bell, outgoing president of the National Association ...
December 04, 2005
It's Time For Unity In The Indexed Products IndustryIn this post-election period, it is appropriate, but coincidental, that the subject of this article is the need for indexed insurance industry unity and consensus.Further ...
December 04, 2005
It's Time For Unity In The Indexed Products IndustryIn this post-election period, it is appropriate, but coincidental, that the subject of this article is the need for indexed insurance industry unity and consensus.Further ...
December 01, 2005
Consider These . . .There are myriad steps breakaway brokers must consider when opening up their own firms. Tom Giachetti, a partner with the law firm Stark & Stark...
November 09, 2005
10 Rules For Keeping Compliance From Affecting Sales SuccessCompliance is often seen as a barrier to sales success when it really doesn't have to be. The extra steps required by compliance sometimes ...
November 02, 2005
California Talks With DI Insurers But Refuses To BudgeState insists that it can unilaterally revoke approval of policiesWashingtonCalifornia Department of Insurance officials say the agency has the authority to unilaterally revoke its ...