State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Medicare Drug Sign-ups Causing Concern Among Regulators
By Jim ConnollyState insurance regulators are concerned about implementation of prescription drug plans that are part of Medicare legislation.Enrollment in PDPs as a result of the Medicare ...
December 14, 2005
Official Wants Better Eam DataOregon Insurance Administrator Joel Ario says state insurance regulators and the American Council of Life Insurers may need to gather more information about the ...
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 ...