State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Treat All Couples Equally
By Staff WriterThe recent Prideplanners conference in Washington, D.C., brought with it some sober realities for advisors. Marriage and the recognition of domestic partnerships for gay and...
October 28, 2007
IMSA Says It Is Ready To Launch Suitability CertificationA new certification program will make it easier for life insurers to track annuity suitability from third-party distributors, according to the Insurance Marketplace Standards Association, ...
October 28, 2007
IMSA Says It Is Ready To Launch Suitability CertificationA new certification program will make it easier for life insurers to track annuity suitability from third-party distributors, according to the Insurance Marketplace Standards Association, ...
October 16, 2007
Nationwide NASAA Exams Reveal Advisor DeficienciesThe North American Securities Administrators Association (NASAA) has released a list of best practices advisors should use after coordinated exams by 43 state and provincial securities examiners revealed deficiencies in a number of areas.
October 12, 2007
GAO: Shift To Principles Might Be A Mixed BagTop financial services experts say shifting to a principles-based approach to regulation could cause problems.Yvonne Jones, a director at the U.S. Government Accountability Office, writes ...
October 12, 2007
GAO: Shift To Principles Might Be A Mixed BagTop financial services experts say shifting to a principles-based approach to regulation could cause problems.Yvonne Jones, a director at the U.S. Government Accountability Office, writes ...
October 12, 2007
Penn Treaty Seeks Large Rate Boost On Older LTC BusinessPenn Treaty American Corp. says it has asked regulators in all 50 states for permission to raise premiums on old long term care insurance policies ...
October 01, 2007
High Court Declines To Hear Birth Control Mandate CaseThe U.S. Supreme Court has refused to consider an appeal by nonprofit religious organizations that object to a New York state contraceptive benefits mandate.The court ...