State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Supreme Court Sides With Maine Drug Subsidy Program
By Staff WriterNU Online News Service, May 20, 2003, 5:52 p.m. EDT -- The U.S. Supreme Court has issued a 6-3 ruling that lets Maine shut ...
May 11, 2003
Consumer Rep Responds To Reader On LTC IssuesConsumer Rep Responds To Reader On LTC IssuesTo The Editor: The April 21 letter written in response to your March 24 article, "Market Changes Pushing ...
May 11, 2003
Congress Turns Up The Heat On Market Conduct ReformCongress Turns Up The Heat On Market Conduct ReformByWashington Congress may have to act unless the states take immediate steps to upgrade and rationalize oversight ...
May 01, 2003
Restoring ConfidenceThoughts of early spring in Washington, D.C. usually conjure images of visitors clamoring to view the cherry blossoms. But spring is also the time when...
April 20, 2003
LTC Consumer Advocate QuestionedTo The Editor:Re: "Market Changes Pushing Update Of LTC Model Act," NU, March 24.I would like to respond to Bonnie Burns, a National Association of ...
April 20, 2003
Beating the Beneficiary BluesBy April K. CaudillA lifetime payout was permitted to each of three IRA beneficiaries, according to a recent private letter ruling, even though the decedent ...
April 20, 2003
State Regulators Launch ASSURE ProgramState Regulators Launch ASSURE ProgramByRegulators stepped up efforts to get the message out that state regulation is the most effective oversight for insurance.South Carolina became ...
April 20, 2003
Regulators Get New Input On SuitabilityByRegulators heard a number of new ideas and suggestions during a discussion of the first draft of a model that focuses on suitable sales of ...