State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
A Process, Not a Destination
By Thomas D. GiachettiWith the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory...
July 26, 2006
GAO To Insurance Regulators: Review Personal Data BuysState insurance departments should keep a closer eye on insurers' use of purchased data concerning individual consumers.Officials at the U.S. Government Accountability Office have come ...
July 19, 2006
House Panel OKs Reinsurance BillMembers of a U.S. House Financial Services Committee subcommittee today approved a measure that could make regulation of the reinsurance market and the property-casualty surplus ...
July 19, 2006
House Panel OKs Reinsurance BillMembers of a U.S. House Financial Services Committee subcommittee today approved a measure that could make regulation of the reinsurance market and the property-casualty surplus ...
July 17, 2006
Staying On Top Of New Anti-Money Laundering RegsFinancial 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
Staying On Top Of New Anti-Money Laundering RegsFinancial 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
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
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 ...