State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Here we go again: The ACA and the Supreme Court
By James SlotnickA ruling against the Obama administration would lead to change. But just what kind of change?
November 21, 2014
10 scariest states ranked by pension promisesNone of the 50 states is anywhere close to accumulating assets sufficient to pay its obligations to retiring government workers.
November 19, 2014
The case for providing ethics training for your staff, and dangers that lie in failing to do soIt is estimated that about one in seven agents with E&O coverage will report a potential claim to their carrier.
November 17, 2014
10 Scariest States Ranked by Pension PromisesIf the nation had an actuary-in-chief examining state pension systems, he'd have to declare the state of the states bleak.
November 13, 2014
5 ways small-group exchange plans went wrongThe GAO says one thing exchanges could do is work better with agents.
November 12, 2014
How states can save PPACA without waiting for courtsIn the states with HHS-run exchanges, 5 million constituents have PPACA plan subsidies.
November 06, 2014
Actions against BD agents, unlicensed individuals jumped in ’13: NASAAWhile actions against BD firms decreased, actions against licensed advisor reps jumped.
November 04, 2014
Actions Against BD Agents, Unlicensed Individuals Jumped in ’13: NASAAThe majority of state securities enforcement actions involve unlicensed individuals, NASAA says.