State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Vaughan Praises Mixed Model
By Allison BellHaving several different regulators use several different approaches to oversee an insurer may help detect problems early.
June 09, 2009
FINRA Chair Comes To NAVARick Ketchum told annuity industry executives Monday that regulation of all types of annuities should be more uniform.
June 05, 2009
Illinois Wins IndependenceInsurance regulators in a Midwestern state once again have their own stand-alone department.
June 05, 2009
Illinois Wins IndependenceInsurance regulators in a Midwestern state once again have their own stand-alone department.
June 04, 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 04, 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 01, 2009
Don't use rumors to drive replacement salesWhen you hear a negative rumor about a life insurer's financial health, what do you do?
June 01, 2009
States' Basic ProtectionWhile coverage available from the 52 state guaranty associations (including the District of Columbia and Puerto Rico) differs from state to state, basic limits of...