State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Irritation With NAIC Surfaces At NCOIL Meeting
By Steve PiontekState legislators' irritation with the National Association of Insurance Commissioners surfaced here at many points during the summer meeting of the National Conference of Insurance ...
June 30, 2007
A few good compliance officersAlmost four in 10 financial advisors have been told by compliance officers they could not engage in an activity the advisor knew was both legal and within regulations. Yikes. That is the most troubling finding of a new study of 100 financial
June 25, 2007
ACLI Welcomes Vote On Reinsurance BillMembers of the House today voted unanimously to pass a bill that could change regulation of the surplus lines and reinsurance markets.Implementation of the bill, ...
June 21, 2007
Lawmakers Continue To Press For Open MeetingsMembers of the National Conference of Insurance Legislators should look at state open meeting laws to make sure that state representatives do not attend closed ...
June 20, 2007
Lawmakers Continue To Press For Open MeetingsMembers of the National Conference of Insurance Legislators should look at state open meeting laws to make sure that state representatives do not attend closed ...
June 19, 2007
Feds Let Bank Of Ireland Manage Plan InvestmentsA well-regulated U.S. branch of a foreign bank can manage collective investment funds for U.S. employee benefit plans.Louis Campagna, chief of the Fiduciary Interpretations Division ...
June 19, 2007
Humana To Scoop Up CompBenefitsA managed care company has agreed to acquire a dental and vision benefits company.Humana Inc., Louisville, Ky., will be paying $360 million for CompBenefits Corp., ...
June 15, 2007
North Dakota AG Says Open Meetings Law Not ViolatedThe North Dakota Attorney General ruled today that North Dakota Insurance Commissioner Jim Poolman has not violated state open meeting laws by participating in closed ...