State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Dodd-Frank, Fiduciary and the 'Switch'
By David MasseyThe SEC should avoid efforts to adopt or otherwise promulgate a fiduciary standard for brokers that is any less stringent than the Investment Advisers Act fiduciary standard.
November 03, 2010
Election 2010, States: GOP Gains Governorships; Prop 24 Defeated in CaliforniaAdvisors and their clients may have focused on Congressional races, but the voting results present some interesting developments on the state level.
October 28, 2010
NAIC annuity training platform to launch in NovemberThe Insured Retirement Institute (IRI) and RegEd, a financial industry training company, signed Tuesday a letter of intent to offer a product-specific training platform.
October 28, 2010
PPACA, State-by-State: A Q&A with Arkansas Insurance Commissioner Jay BradfordAs part of a regular series featuring interviews with state regulators, Bradford discusses his state's challenges and hopes when it comes to health care reform
October 28, 2010
At Schwab Impact, Condoleezza Rice Addresses Political, Financial Issues"Today's headlines and history's judgment are rarely the same," Condoleezza Rice said Thursday evening to a receptive audience at Schwab Impact 2010 in Boston.
October 27, 2010
PPACA, State-by-State: A Q&A with Arkansas Insurance Commissioner Jay BradfordAs part of a regular series featuring interviews with state regulators, Bradford discusses his state's challenges and hopes when it comes to health care reform
October 20, 2010
The Big Switch Affects Schwab AdvisorsOne of the major effects of the Dodd-Frank law is that RIA firms with less than $100 million in AUM will switch from SEC registration to state oversight.
October 06, 2010
The State Perspective: Massey on the New Form ADV Part IINASAA recommends that states that have adopted the Form ADV for use in the investment advisor registration process and for disclosure purposes should begin using the new Part 2 according to a specific schedule.