State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
House Panel To Hold Military Sales Hearing
By Matt BradyByA subcommittee of the House Financial Services Committee will delve into the suitability of sales of insurance products to military personnel from marketers located near ...
July 21, 2004
NCOIL OKs Market Conduct Model ChangesByChicagoThe National Conference of Insurance Legislators approved an amended list of suggested changes to a market conduct model surveillance law at its recent meeting here.NCOIL ...
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 ...