State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NAIC OKs Changes To NCOIL Market Conduct Model
By Jim ConnollyNU Online News Service, June 14, 2004, 6:26 p.m. EDT, San Francisco -- State insurance commissioners have recommended changes to another group's market conduct ...
June 03, 2004
GAO Official Puts Forth Market Conduct ProposalGAO Official Puts Forth Market Conduct ProposalByWashingtonThe market analysis component of state market conduct oversight should be centralized and probably placed in the hands of ...
May 27, 2004
Insurers Object To Cost Of SOX ComplianceNU Online News Service, May 27, 2004, 6:07 p.m. EDT -- The National Association of Insurance Commissioners will hold a hearing next month on ...
May 24, 2004
Falling Rates Hit 1Q U.S. Pension Funding LevelNU Online News Service, May 24, 2004, 2:15 p.m. EDT -- Defined benefit pension plans probably did well in Australia and poorly in the ...
May 20, 2004
L20 Boomer 529 text box ttWHAT'S AHEADAmong other trends predicted in FRC's 529 plan research report: New 529 plan providers will enter the business as smaller vendors exit because of ...
May 10, 2004
More States Introduce Filing Compact BillsNU Online News Service, May 10, 2004, 5:39 p.m. EDT -- Many states are helping with efforts to create a "single point of filing" ...
May 07, 2004
Former NAIC Head Defends State RegulationNU Online News Service, May 7, 2004, 6:17 p.m. EDT -- A former president of the National Association of Insurance Commissioners and the head ...