State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Lessons From Down Under
By Bob KeaneThe United States and Australia share many similarities. Both nations began their histories as colonial possessions of the British Empire and despite attracting immigrants from...
June 18, 2009
The unbearable lightness of beingI feel like Norman Fell. T.V.'s Mr. Roper had a scene-stealer with Bob Newhart in the film adaptation of Catch-22. Fell's Sgt. Towser takes such a...
June 15, 2009
NAFA Pans FINRA DraftA regulation proposed by the Financial Industry Regulatory Authority could expand suitability mandates so broadly that they would cover all investment product recommendations.
June 14, 2009
NAFA Pans FINRA DraftA regulation proposed by the Financial Industry Regulatory Authority could expand suitability mandates so broadly that they would cover all investment product recommendations.
June 13, 2009
LTCP Training Update -- Shifting Focus: Ongoing TrainingIn the roll-out of new LTCI/LTC training requirements, many states' requirements are place for a year or more. Here, the focus is shifting from initial training to ongoing training, which must be taken every two years.
June 12, 2009
LTCP Training Update -- Shifting Focus: Ongoing TrainingIn the roll-out of new LTCI/LTC training requirements, many states' requirements are place for a year or more. Here, the focus is shifting from initial training to ongoing training, which must be taken every two years.
June 11, 2009
NAIC Panels Set AgendasA National Association of Insurance Commissioners working group has tried to decide which state producer licensing requirements are consistent with efforts to make the requirements more uniform.
June 11, 2009
NAIC Panels Set AgendasA National Association of Insurance Commissioners working group has tried to decide which state producer licensing requirements are consistent with efforts to make the requirements more uniform.