State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NASAA updates investment advisor best practices
By LifeHealthPro StaffThe North American Securities Administrators Association has issued an updated set of best practices to help investment advisors stay in compliance.NASAA President and North Dakota Securities Commissioner Karen Tyler said the best practices were
April 06, 2008
State Insurance Regulators Ready For Fight On Treasury's ProposalState insurance commissioners were uniformly negative in their reaction to the Treasury Department's sweeping proposal that calls for an optional federal charter and a national ...
April 06, 2008
State Insurance Regulators Ready For Fight On Treasury's ProposalState insurance commissioners were uniformly negative in their reaction to the Treasury Department's sweeping proposal that calls for an optional federal charter and a national ...
April 02, 2008
Insurance Commissioners Pan Treasury ReportState insurance commissioners are objecting to a Bush administration proposal to give insurers and producers the option to choose to be regulated by a federal ...
April 02, 2008
Insurance Commissioners Pan Treasury ReportState insurance commissioners are objecting to a Bush administration proposal to give insurers and producers the option to choose to be regulated by a federal ...
April 01, 2008
The 4 Main Components of ComplianceThirty-two: That's the official number of compliance steps that affect your sales of life insurance, annuities, and other financial products. Almost every agent, however, is in violation of at least one of these guidelines, rules,
April 01, 2008
Democrats Split On Treasury ProposalThe Treasury Department's financial services reform "blueprint" report is getting a mixed reaction from key members of Congress.Treasury Secretary Henry Paulson unveiled the blueprint report ...
March 31, 2008
NAIC Leaders Tell Treasury They Help ConsumersState regulation of insurance should continue because regulators help consumers, according to officials at the National Association of Insurance Commissioners."We have a good story to ...