State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Expert's Corner: Complacency, Risk and the SEC
By Thomas D. GiachettiAll too often advisors become complacent with respect to compliance matters, but all registered investment advisors must continue to recognize that compliance is an ongoing...
May 29, 2009
NCOIL Defends State RoleNational Conference of Insurance Legislators officers have sent a letter urging key congressional committee leaders to protect state efforts to regulate insurance markets.
May 21, 2009
NARAB II Bill Is HereHouse members today introduced a bill, H.R. 2554, that would create the National Association of Registered Agents and Brokers.
May 21, 2009
NARAB II Bill Is HereHouse members today introduced a bill, H.R. 2554, that would create the National Association of Registered Agents and Brokers.
May 18, 2009
LISA Wins Court BattleA Florida administrative judge has tossed out part of a proposed state insurance regulation that could require life settlement firms to file detailed annual reports on out-of-state deals as well as Florida deals.
May 18, 2009
Case Against SEC's Rule 151A Now In Hands Of The CourtWhether equity-indexed annuities will be subject to federal or state regulation will likely hinge on a federal appeals court panel's view on how much risk in a product currently sold as insurance "is too much risk" to be exempt from federal oversight.
May 17, 2009
LISA Wins Court BattleA Florida administrative judge has tossed out part of a proposed state insurance regulation that could require life settlement firms to file detailed annual reports on out-of-state deals as well as Florida deals.
May 17, 2009
Case Against SEC's Rule 151A Now In Hands Of The CourtWhether equity-indexed annuities will be subject to federal or state regulation will likely hinge on a federal appeals court panel's view on how much risk in a product currently sold as insurance "is too much risk" to be exempt from federal oversight.