State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Equitable Holdings Picks Global Atlantic to Reinsure $10B in Group Annuity Value
By Allison BellThe deal is a response to New York state's new variable annuity reserving requirements.
August 05, 2022
Ex-Rep Booted Over Claims of Racism Sues LPL for $95MThe broker-dealer ended its affiliation with Eileen Cure after claims surfaced online that she had refused to hire Black job-seekers.
August 05, 2022
NASAA Extends Comment Period on REIT ProposalThe comment period has been extended another 30 days.
August 01, 2022
FINRA Seeks to Rein In a Common Expungement TacticFINRA believes straight-in expungements are problematic because they are granted at a higher rate.
August 01, 2022
New York Asks Life Insurers for Disaster Plan UpdatesAgents and advisors can use the department's disaster prep questionnaires, too.
July 28, 2022
Schumer-Manchin Deal May Raise Some Life Insurers' TaxesHere are H.R. 5376 highlights for life, health and annuity advisors.
July 28, 2022
House-Passed H.R. 3962 Would Ease Online NotarizationsThe bill could make completing some types of life and annuity transactions online simpler.
July 26, 2022
Kitces Raises Concerns With Colorado Financial Planning GuideXYPN is concerned that the guidance will prompt fee for service RIAs to move to AUM billing practices, even when it doesn't align with their services.