State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Mich. House Panel Approves Retiree Benefit Changes
By Staff WriterLegislation aimed at reining in retiree benefit costs for Michigan state workers was approved Thursday by the Republican-led House Appropriations Committee.
October 21, 2011
Securities Regulators Find Enforcement Actions by States Surged 51% in 2010NASAA released findings of a report on Oct.19 that found a 51% increase in the number of enforcement actions by state securities regulators in 2010
October 20, 2011
Federal Regulatory Scenarios Require Uniformity at All Levels, Report SaysSmoothing out the inefficiencies of state regulation, with its dependency on state legislatures, opens a range of possibilities in federal oversight, which will again lead to federal supervisory overlaps unless a federal regulatory with power to be the last word on all aspects of insurance regulation is created, a report...
October 20, 2011
Federal Regulatory Scenarios Require Uniformity at All Levels, Report SaysSmoothing out the inefficiencies of state regulation, with its dependency on state legislatures, opens a range of possibilities in federal oversight, which will again lead to federal supervisory overlaps unless a federal regulatory with power to be the last word on all aspects of insurance regulation is created, a report...
October 17, 2011
Nothing to See Here, Move AlongWhen does callous indifference become good risk management? A recent case in China of a hit-and-run involving a toddler has the country wondering where it has gone wrong. Any American could tell them: liability.
October 17, 2011
Wisconsin Governor Broke Campaign Pension Promise (AP)Wisconsin Gov. Scott Walker, who forced public workers to pay more for their pensions as part of a push to curb union rights, broke his campaign promise to pay the full cost of his state pension immediately after taking office in January.
October 14, 2011
Slew of Advisor Violations Found by State RegulatorsA series of coordinated exams of 825 investment advisors by 45 state and provincial securities examiners between Jan. 1 through June 30 of this year uncovered 3,543 deficiencies in 13 compliance areas.
October 10, 2011
Broken Budgets and Double Dippers (AP)A review by The Associated Press found tens of thousands of state and public school employees across the country drawing government salaries along with their pensions.