State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Staying On Top Of New Anti-Money Laundering Regs
By Eugene YooFinancial institutions, such as banks or securities firms, have been under scrutiny for quite some time to identify potential threats, mitigate risks and maintain regulatory compliance.
July 16, 2006
SEC Issues Concept Release On SOXThe U.S. Securities and Exchange Commission issued a concept release focusing on internal control reporting requirements under the Sarbanes-Oxley Act of 2002. According to one ...
July 16, 2006
Using The 'Psychology' Of ComplianceSome agents find that being in compliance with state and National Association of Securities Dealers regulations and company procedures is easy, while others find it ...
July 16, 2006
Compliance Management Spurs Systems Automation For InsurersIn 2005, many U.S. insurers were privately held and thus not subject to the requirements mandated by the Sarbanes-Oxley (SOX) Act of 2002. However, private ...
July 16, 2006
SEC Issues Concept Release On SOXThe U.S. Securities and Exchange Commission issued a concept release focusing on internal control reporting requirements under the Sarbanes-Oxley Act of 2002. According to one ...
July 16, 2006
Compliance Management Spurs Systems Automation For InsurersIn 2005, many U.S. insurers were privately held and thus not subject to the requirements mandated by the Sarbanes-Oxley (SOX) Act of 2002. However, private ...
July 06, 2006
New Jersey Keeps Insurance Officials Off JobThe Garden State is continuing to operate without a fully functioning Department of Banking and Insurance.New Jersey Gov. Jon Corzine and state lawmakers have failed ...
July 05, 2006
New Jersey Keeps Insurance Officials Off JobThe Garden State is continuing to operate without a fully functioning Department of Banking and Insurance.New Jersey Gov. Jon Corzine and state lawmakers have failed ...