State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
How to stay out of hot water
By National Ethics BureauIf you're registered as an investment advisor, you'd best pay attention to
December 29, 2009
Oppenheimer, Illinois Settle 529 Plan DisputeOppenheimerFunds Inc. and the state of Illinois announced they have agreed to settle the state's investigation of the way Oppenheimer and 3 subsidiaries managed part of Illinois' 529 college savings program.
December 29, 2009
Recession alters boomer migrationForget Naples, Fla. or Scottsdale, Ariz. for your next satellite office. Lubbock, Texas might be a better fit. A recent Wall Street Journal story finds...
December 23, 2009
7 Major Insurance-Related Bills of 2009According to a study by the Insurance Compliance Solutions group at Wolters Kluwer Financial Services, 2009 was the biggest year in recent history for insurance-related regulatory reform.
December 22, 2009
NCOIL Pans NAIC National Commission ProposalThe officers of the National Conference of Insurance Legislators say a National Association of Insurance Commissioners coordination proposal would weaken state authority.
December 21, 2009
NCOIL Pans NAIC National Commission ProposalThe officers of the National Conference of Insurance Legislators say a National Association of Insurance Commissioners coordination proposal would weaken state authority.
December 10, 2009
Houses Passes Financial Package 223-202Members of the House today voted 223-202 to approve H.R. 4173, the Wall Street Reform and Consumer Protection Act of 2009.
December 07, 2009
Missouri Sticks With IIPRC StandardsThe Show Me State has agreed to use annuity standards set by the Interstate Insurance Product Regulation Commission.