State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NASAA gets new president, floats elder financial abuse rule
By Melanie WaddellLike a rule proposed recently by FINRA, NASAA's plan allows BDs and advisors to delay disbursement of funds when financial exploitation against seniors is suspected.
October 02, 2015
15 best practices to protect clients from elder financial fraudWith the U.S. population aging at a rate never before seen, cases of elder financial fraud are skyrocketing. Here's how to protect yourself and your client.
October 01, 2015
AHIP: Radiation bills are differentHealth insurers are trying to push another cost issue into the public consciousness.
October 01, 2015
AHIP: Radiation bills are differentHealth insurers are trying to push another cost issue into the public consciousness.
September 30, 2015
Top 5 states with the highest state debtHere are the five states with the highest level of state debt when it is divided up amongst the population -- aka "the sinkhole states."
September 30, 2015
Top 5 states with the highest state debtHere are the five states with the highest level of state debt when it is divided up amongst the population -- aka "the sinkhole states."
September 29, 2015
Democrat proposes PPACA small-group definition alternativesFrank Pallone calls for a temporary definition-change delay.
September 29, 2015
Democrat proposes PPACA small-group definition alternativesFrank Pallone calls for a temporary definition-change delay.