State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Tug Of War Over SOX Continues
By Jim ConnollyByRegulators and insurers continued their tug of war over inclusion of provisions of the Sarbanes-Oxley Act of 2002 in a model law under consideration by ...
July 15, 2004
Have Cell Phone, Will TravelBut Keep Records!Have Cell Phone, Will Travel But Keep Records!Heres a reminder for busy financial advisors: Keep your cell phone records in tip-top shape to qualify for ...
July 13, 2004
IABA Rep Calls For Limited Federal Role In ReformArthur D. Postal / NU Online News Service, July 13, 2004, 6:11 p.m. EDT WashingtonCongress can play a "vital role" in reforming the state ...
July 02, 2004
Drug Benefits Firm Faces Administrative SubpoenasNU Online News Service, July 2, 2004, 1:03 p.m. EDTThe Washington state attorney general is asking for information about pharmacy benefit management programs affiliated ...
June 17, 2004
Mathematically ChallengedAs if putting a kid through college was not difficult enough, now there are intimations that state-sponsored college savings plans are sticking it to the ...
June 17, 2004
Market Conduct Model Tennis Match ContinuesMarket Conduct Model Tennis Match ContinuesBySan FranciscoA market conduct surveillance model act is back at its source following a decision by state insurance regulators to ...
June 14, 2004
NAIC OKs Changes To NCOIL Market Conduct ModelNU Online News Service, June 14, 2004, 6:26 p.m. EDT, San Francisco -- State insurance commissioners have recommended changes to another group's market conduct ...
June 11, 2004
NCOIL President Criticizes Oxley Reform RoadmapNU Online News Service, June 11, 2004, 5:39 p.m. EDT -- The head of the National Conference of Insurance Legislators, Albany, N.Y., has warned ...