State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Oh, waiter? Reality check, please
By Bcoffin, BcoffinThere is an interesting article on Investment News this morning regarding how the insurance industry has largely dodged a regulatory bullet in all of the ...
August 20, 2010
N.Y. Issues More Subpoenas in RAA ProbeThe New York Attorney General's office has widened its investigation of retained asset accounts (RAAs) to include several more insurers, according to our sister publications from National Underwriter.
August 20, 2010
Western U.S. Has Highest Jobless Rate; Nevada Worst State, 14.3%Unemployment this July in individual states was little changed compared to June, with the jobless rate falling in 18 states, rising in 14 states, and staying flat in 18 states, the U.S. Labor Department reported August 20.
August 20, 2010
NASAA's Crawford on State Regulation of RIAs, Fiduciary: The Weekend InterviewDenise Voigt Crawford, Texas Securities Commissioner and president of NASAA, says states are "ready to go" in regulating the approximately 4,000 extra advisors that will officially shift next year.
August 11, 2010
SABIR to Defend State Insurance RegulationA new group, the States Alliance for Balanced Insurance Regulation, will represent small and midsize insurance-related businesses in the looming battle over the role of federal regulators.
August 11, 2010
SABIR to Defend State Insurance RegulationA new group, the States Alliance for Balanced Insurance Regulation, will represent small and midsize insurance-related businesses in the looming battle over the role of federal regulators.
August 05, 2010
Creation of the Federal Insurance OfficeTitle V - Insurance: the portion of the Dodd-Frank Wall Street Reform and Consumer Protection Act that establishes the Federal Insurance Office.
August 05, 2010
Creation of the Federal Insurance OfficeTitle V - Insurance: the portion of the Dodd-Frank Wall Street Reform and Consumer Protection Act that establishes the Federal Insurance Office.