State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Challenge On Annuity Surrender Charges
By Jim ConnollyBostonRegulators discussing the proper annuity nonforfeiture rate were challenged by one of their own to put that issue aside and concentrate on the sale ...
June 08, 2005
NAIC And E-Regulators Clash Over SMART ActWashingtonAt a hearing last week, the National Association of Insurance Commissioners continued its policy of steadfast opposition to federal legislation imposing "standards" on state ...
June 02, 2005
NAIC Groups Struggle With Internal Controls ChangesState insurance regulators have plowed ahead with efforts to tighten standards for corporate governance and auditor independence, but they are taking longer to update ...
June 01, 2005
Planning In Vermont5 Years After The Civil Union LawIn less than half a month, the Vermont gay and lesbian community will celebrate the 5th anniversary of the July 1, 2000, effective date ...
May 29, 2005
Do Me A FavorSo there I was, editing a story by Matt Brady on the recent spring conference of the Life Insurance Settlement Association, when I came to ...
May 29, 2005
Making The Case For ConsistencyThe marketplace for financial products has long been subject to a disjointed array of state and federal laws and regulations. For any consumer trying to ...
May 25, 2005
NAICs SOX Changes Coming TogetherNAICSOXJune02jc --75 linesBanner: RegulationSection 404 Remains A Sticking PointWhen state insurance regulators meet in mid-June to discuss incorporating elements of the Sarbanes-Oxley Act of ...
May 23, 2005
Calif. Banks Form WC GroupAn independent banks self-insurance group being formed in California says it expects to realize savings of 20% to 30% on workers' compensation costs.Creation of ...