State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Most State-Registered Advisors Have Tech, Cybersecurity Policies: NASAA
By Melanie WaddellThough less than 5% of small and midsize firms said they had a cybersecurity incident, two-thirds said they had cybersecurity policies in place.
August 29, 2014
Lawyer Charged With Bilking Client, 90, to Fund Cat Litter Box InventionCalifornia attorney Delbert Modlin is charged with persuading a 90-year-old man to liquidate his assets and invest the $120,000 proceeds into an improved litter box.
August 26, 2014
9 Worst States for 401(k) PlansWhile any company can design a better plan no matter the state it's in, the trends are nonetheless telling.
August 26, 2014
Are regulators friends or foe?Have state regulators placed their need for hidden revenues above their mission of ensuring a viable and competitive insurance industry?
August 26, 2014
Are regulators friends or foe?Have state regulators placed their need for hidden revenues above their mission of ensuring a viable and competitive insurance industry?
August 21, 2014
NAIC approves LTCI rate proposalIn states that use the model, insurers will have to spend more time talking to actuaries.
August 19, 2014
Elder Financial Abuse Targeted by State RegulatorsSince 2008, NASAA said, more than 34% of enforcement actions by state securities regulators have involved senior victims.
August 13, 2014
Home care planning: 4 things LTC planners should know about the new regsThe final rule has a direct effect on Medicaid but could affect other parts of the LTC community.