State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Fla. Insurance Official Resigns
By Staff WriterAn official of the Florida Office of Insurance Regulation has resigned following reports the department is being investigated for improper political activity.Insurance Commissioner Kevin McCarty ...
April 01, 2007
What if the Horse Has Left the Barn?It is ideal to have a new employee sign a restrictive covenant when he begins his employment. But what if you don't do so at...
April 01, 2007
A Compliance CultureReceNt NASD actions have led to increased compliance efforts on the part of many firms. The Financial Services Institute has released "Independent Broker-Dealers: Building a...
April 01, 2007
What's the Real Threat to Wall Street?Worries about erosion in Wall Street dominance of global financial markets have been getting a lot of play lately. The Treasury department has been reviewing...
March 29, 2007
Virginia Implements Annuity Suitability RulesThe Old Dominion State will be updating its rules for replacement of life and annuity contracts and annuity suitability April 1.The Virginia State Corporation Commission ...
March 25, 2007
Just Poking AroundSome years ago, I was pruning a pyracantha bush when I spotted a huge wasp nest in among its foliage. I looked it over carefully ...
March 18, 2007
Insurers Seek 'Mix and Match' For Compact Product FilingsWith the June target date for the Interstate Insurance Product Regulation Commission to start accepting product filings fast approaching, discussions are focusing on how to ...
March 18, 2007
Insurers Seek 'Mix and Match' For Compact Product FilingsWith the June target date for the Interstate Insurance Product Regulation Commission to start accepting product filings fast approaching, discussions are focusing on how to ...