State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
FINRA Fines, Suspends Ex-Securities America Rep Who Impersonated Dead Client
By Jeff BermanThe ex-broker pretended to be her deceased relative, a firm client, in a phone call, FINRA says.
December 20, 2022
NAIC Task Force Adopts Index-Linked Variable Annuity GuidelinesThe industry may finally adopt a standard name for this variable-annuity product.
December 16, 2022
Insurtech Regs, 'Dark Pattern' Spottting on NAIC's To-Do ListConsumer reps also want to make information about claim denial rates easier to find.
December 15, 2022
15 Key Life, Health and Annuity Regulatory Stories of 2022, So FarUp till now, 2022 has been more a year of fixes than of masterpieces.
December 15, 2022
Massachusetts Adopts Annuity Sales RegulationsSupporters of the Regulation Best Interest-based approach see 37 actual or pending approvals.
December 14, 2022
10 Worst States for December Working-Age COVID-19 Hospitalization IncreasesThe number of hospitalized people ages 20-59 increased 38% between early November and early December.
December 14, 2022
Some Clients Could Get ICHRA Cash for CoverageIn New Jersey, about 23% of employers who have heard of ICHRAs have them or want them.
December 13, 2022
NAIC to Spotlight Annuity Sales Standard Update Gray ZonesThe list of states without updates includes Florida and Indiana as well as California and Oregon.