State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Opinion Diverges On Market Conduct
By Jim ConnollyByRecent industry discussions suggest that there is significant disparity over how to create a market conduct mechanism, a goal most support.That disparity was highlighted both ...
June 03, 2003
New York Revises Healthy NY ProgramNU Online News Service, June 3, 2003, 4:05 p.m. EDT -- The New York State Insurance Department says Healthy NY, a state-sponsored insurance program ...
June 01, 2003
NAIC's Suitability Effort Seems To Be Edging Toward ConsensusNAICs Suitability Effort Seems To Be Edging Toward ConsensusByTentative optimism is being expressed that a recent roll-up-your-sleeves work session will result in a sales suitability ...
June 01, 2003
NAIC, Regulators Need To Act Before Congress Threatens ActionNAIC, Regulators Need To Act Before Congress Threatens ActionIts getting to be a familiar refrain. The 50 states and the District of Columbia develop confusing, ...
May 29, 2003
State Farm To Market Nebraska 529 PlanNU Online News Service, May 29, 2003, 4:42 p.m. EDT -- State Farm VP Management Corp., a unit of State Farm Mutual Automobile Insurance ...
May 20, 2003
Supreme Court Sides With Maine Drug Subsidy ProgramNU 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 18, 2003
NCOIL Weighs In On Market ConductByThe spotlight on effective market conduct procedures is intensifying as details of a new report issued by legislators become available.The report by the National Conference ...
May 11, 2003
ACLI CEO Says Faster Approval Of Products Is 'Crucial'ACLI CEO Says Faster Approval Of Products Is CrucialByColorado Springs, Colo. Despite the fact that its board has supported an optional federal charter proposal, the ...