State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Advisors Urged to Act Now on Compliance
By Marlene Y. SatterAdvisors, listen up: if you arent already doing all the things your compliance manual and supervisor say you are, youd better start.
December 16, 2011
Commenters Find Fault with State Regulation; Look to FIO to LeadThe Financial Services Roundtable says the FIO should be a leader among those who regulate the insurance sector in any way, shape or form. FSR and others find much to take state regulation to task for in comments due today to The Treasury Department's office of insurance.
December 16, 2011
Commenters Find Fault with State Regulation; Look to FIO to LeadThe Financial Services Roundtable says the FIO should be a leader among those who regulate the insurance sector in any way, shape or form. FSR and others find much to take state regulation to task for in comments due today to The Treasury Department's office of insurance.
December 14, 2011
ACLI Finds Same State Regulatory Problems More Than a Decade LaterAccording to the ACLI, life insurance CEOs may be concerned about too much federal regulatory spread, but they still want a strong point man to coordinate with other agencies and states and to represent the U. S. internationally. And while they have many continued problems with state regulation, they still...
December 12, 2011
Consultant: CO-OPs Get Flexible "Small Group" DefinitionFinal HHS regulations released earlier this month could let a CO-OP count a family of four as a small group.
December 12, 2011
Consultant: CO-OPs Get Flexible "Small Group" DefinitionFinal HHS regulations released earlier this month could let a CO-OP count a family of four as a small group.
December 08, 2011
S&P Warns on Possible Downgrade of EU, BanksStandard & Poor's, continuing a theme it began earlier this week, said Wednesday that the European Union itself could face the loss of its AAA credit rating, as could large euro zone banks.
December 06, 2011
NAIC Responds to Budget Critique, Noting Increased Demands, Decreased State FundsThe evolving nature of insurance regulation and market uncertainty require more of an operating reserve, while federal and global initiatives bearing down on state regulation require more interfacing with authorities in Washington and abroad, and travel, the NAIC says, defending its proposed 2012 budget.