State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
California Might Revisit Annuity Suitability
By Trevor ThomasNU Online News Service, Jan. 8, 2004, 5:39 p.m. EST -- California lawmakers probably will take another look at consumer privacy and health care ...
December 12, 2003
Labor Nixes Paper-Based ERISA Advisor FilingNU Online News Service, Dec. 12, 2003, 5:25 p.m. EST -- The U.S. Department of Labor wants small firms that manage benefit plan investments ...
December 11, 2003
AAHP-HIAA Emphasizes State AdvocacyNU Online News Service, Dec. 11, 2003, 6:55 p.m. EST -- AAHP-HIAA, Washington, says it has hired regional state advocacy directors, expanded its state ...
December 11, 2003
Will The Real Compact Please Stand UpByAnaheim, Calif. An alternate product filing approach announced by three large states was called "reckless" by New York Insurance Superintendent Greg Serio.California, Florida and Texas ...
December 10, 2003
Will The Real Compact Please Stand Up?NU Online News Service, Dec. 10, 2003, 9:56 a.m. EST, Anaheim, Calif. -- California, Florida and Texas announced an alternate product filing approach here ...
December 04, 2003
Complying With Do-Not-CallByIf you are a sales agent for a financial services or insurance company, it is imperative that you take steps to comply with the ...
December 04, 2003
Analyst Doubts EU Will Limit Capital FlowsNU Online News Service, Dec. 4, 2003, 8:33 p.m. EST -- A group of researchers at the European Union's Directorate General for Economic and ...
November 06, 2003
NCOIL Market Conduct Model AiredByA proposed market conduct model law is prompting a discussion on how to balance consumer protections, state regulatory authority, and costs and administrative burdens on ...