State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
ACLI CEO Says Faster Approval Of Products Is 'Crucial'
By Steve PiontekACLI CEO Says Faster Approval Of Products Is CrucialByColorado Springs, Colo. Despite the fact that its board has supported an optional federal charter proposal, the ...
May 01, 2003
Restoring ConfidenceThoughts of early spring in Washington, D.C. usually conjure images of visitors clamoring to view the cherry blossoms. But spring is also the time when...
April 20, 2003
LTC Consumer Advocate QuestionedTo The Editor:Re: "Market Changes Pushing Update Of LTC Model Act," NU, March 24.I would like to respond to Bonnie Burns, a National Association of ...
April 20, 2003
Beating the Beneficiary BluesBy April K. CaudillA lifetime payout was permitted to each of three IRA beneficiaries, according to a recent private letter ruling, even though the decedent ...
April 20, 2003
State Regulators Launch ASSURE ProgramState Regulators Launch ASSURE ProgramByRegulators stepped up efforts to get the message out that state regulation is the most effective oversight for insurance.South Carolina became ...
April 20, 2003
Regulators Get New Input On SuitabilityByRegulators heard a number of new ideas and suggestions during a discussion of the first draft of a model that focuses on suitable sales of ...
April 14, 2003
South Carolina Sets Up ASSURE ProgramNU Online News Service, April 14, 2003, 5:25 p.m. EDT -- South Carolina officially launched its ASSURE program today.ASSURE stands for "Alliance for Sound ...
April 13, 2003
Dialogue On The CompactIf the interstate compact proposal is to gain any traction and have a chance at becoming a reality, state legislators are the ones who will ...