State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
The Long and Short of It
By Melanie WaddellTo satisfy what it says is demand from advisors and other intermediaries, State Street Global Advisors, the investment management arm of State Street Corp., recently launched the SSgA Core Equity Fund, a mutual fund that takes both long and short stock positions, which is known as a 130/30 fund.
January 31, 2008
Drive at high speed to successWelcome to the Internet autobahn, where information zooms from carriers, to advisors, to FMOs, to regulators, to the media, to clients and back again -- in seconds. It's a world that has rendered the following excuse obsolete: "No one told
January 31, 2008
California ponders restricting annuity salesLast August, I testified at a public discussion regarding possible additions to the California Code of Insurance Regulations, dealing with annuities sales to seniors -changes that are being prompted by new powers awarded to the state's Insurance
January 21, 2008
New York Meets On Transforming Financial RegsA group working to modernize New York's financial regulatory system will follow a proposal for changes put forward by the state's insurance superintendent, officials said.Their ...
January 21, 2008
New York Meets On Transforming Financial RegsA group working to modernize New York's financial regulatory system will follow a proposal for changes put forward by the state's insurance superintendent, officials said.Their ...
January 06, 2008
OFC Seen As Fix For U.S. Insurers' Competitiveness In Global MarketsThe structure of state insurance regulation presents "inherent obstacles" to promoting global insurance competitiveness, a reinsurance industry executive and former Federal Reserve Board governor contends."Even ...
January 01, 2008
Preparing yourself for partnership policiesQ. I'm in a state where LTC partnership policies will be soon introduced. What information and advice can you provide about who should buy these policies, who needs to take the training and other important details? A. If you have not been hearing
December 31, 2007
Preparing yourself for partnership policiesQ. I'm in a state where LTC partnership policies will be soon introduced. What information and advice can you provide about who should buy these policies, who needs to take the training and other important details? A. If you have not been hearing