State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
American College CEO to Lead Talk on Financial Education
By Allison BellThe panel will be part of a three-day diversity, equity and inclusion conference that started Sunday.
March 28, 2023
Regulators Approve Guideline for Index-Linked Variable AnnuitiesAnother NAIC change could affect efforts to show clients how indexed universal life policies might work.
March 28, 2023
North Carolina Governor Signs Medicaid Expansion BillNorth Carolina has become the 40th state to pursue Medicaid expansion subsidies available through the ACA.
March 24, 2023
A Global View of Retirement Shows How U.S. Savers Stack UpA new global survey shows readiness remains lower in the U.S. than in many other developed countries.
March 23, 2023
Advisor Tells Regulators That Life Illustrations Are Just Too SimpleNAIC panels are also discussing AI, fast underwriting and guarantees from dead banks.
March 23, 2023
CalPERS Agrees to $820M Long-Term Care Insurance Rate Suit SettlementPolicyholders have been fighting CalPERS in court since 2013.
March 21, 2023
Advisor Charged With Defrauding Clients in Annuity Switching SchemeClients incurred over $640,000 in surrender charges, according to the SEC.
March 21, 2023
Ex-Investors Capital Broker Barred for Stealing $250KNick Palky allegedly took the client's savings through forgery after he recommended that she liquidate her money market funds.