State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
A Compliance Culture
By Kara P. StapletonReceNt NASD actions have led to increased compliance efforts on the part of many firms. The Financial Services Institute has released "Independent Broker-Dealers: Building a...
March 25, 2007
Just Poking AroundSome years ago, I was pruning a pyracantha bush when I spotted a huge wasp nest in among its foliage. I looked it over carefully ...
March 18, 2007
Insurers Seek 'Mix and Match' For Compact Product FilingsWith the June target date for the Interstate Insurance Product Regulation Commission to start accepting product filings fast approaching, discussions are focusing on how to ...
March 18, 2007
Insurers Seek 'Mix and Match' For Compact Product FilingsWith the June target date for the Interstate Insurance Product Regulation Commission to start accepting product filings fast approaching, discussions are focusing on how to ...
March 07, 2007
Agents Call State Regs CostlyStaying on top of and complying with many different states regulations cost life brokerage agencies an average of $12,600 per year and 347 hours of ...
March 07, 2007
Agents Call State Regs CostlyStaying on top of and complying with many different states regulations cost life brokerage agencies an average of $12,600 per year and 347 hours of ...
March 06, 2007
NCOIL Panel Nixes Proposal To Shun Compact CommissionA member of the National Conference of Insurance Legislators made an unsuccessful attempt here to persuade colleagues to back away from the new Interstate Insurance ...
March 06, 2007
NCOIL Panel Nixes Proposal To Shun Compact CommissionA member of the National Conference of Insurance Legislators made an unsuccessful attempt here to persuade colleagues to back away from the new Interstate Insurance ...