State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
State Lawmakers Seek Swap Oversight
By Arthur D. PostalCredit default swaps are in the sights of some NCOIL members.
February 01, 2009
Presidential DirectionsThe Oval Office isn't the only place with a new occupant. The National Association of Insurance Commissioners (NAIC) is under the command of a new...
January 31, 2009
Playing by the rulesTo play by the rules, you have to know the rules. For many advisors, that means becoming familiar with such imposing documents as the FINRA Manual, a sprawling and still-growing amalgamation of legalese (posted online at finra.complinet.com) that at
January 30, 2009
Regulators Ask, "What Is An Emergency?"State insurance commissioners may need to establish guidelines for deciding which situations are emergencies.
January 24, 2009
NCOIL Leaders Call For Caution On Capital ProposalTwo top officers of the National Conference of Insurance Legislators want insurance regulators to delay action on an American Council of Life Insurers capital and surplus proposal.
January 23, 2009
NCOIL Leaders Call For Caution On Capital ProposalTwo top officers of the National Conference of Insurance Legislators want insurance regulators to delay action on an American Council of Life Insurers capital and surplus proposal.
January 06, 2009
Connecticut Allows Pens And CalendarsRegulators in a New England state say insurers and producers there can use gifts with a fair market value of less than $15 to promote ...
January 05, 2009
In The IA Crystal Ball For 2009What does 2009 hold for the index annuity industry? Here are some likely possibilities.