State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Is NAIC's Rating Agency Proposal Investment Grade?
By Jim ConnollyOne of the more interesting projects state insurance commissioners have on the burner is a plan to start up a rating agency.The first mention of ...
October 15, 2008
AARP To Help Monitor Free LunchesTwo national groups have teamed up to encourage seniors to report advisors who promote unsuitable investments at "free-lunch seminars."AARP, Washington, and the North American Securities ...
October 01, 2008
Boomer-friendly productsThe emergence of some lifestage products designed specifically with boomers in mind is making LTCI a more inviting subject for advisors to tackle with clients....
October 01, 2008
Problems in purging CRD recordsFollowing a recent U.S. Court of Appeals ruling, financial advisors will continue to find it difficult to purge their Central Registration Depository (CRD) records of consumer complaint information following a settlement agreement. This makes it all
October 01, 2008
How to market a seminar the right wayThe secret to a successful seminar is diligent planning and marketing. Let's say you are getting ready to produce a life insurance seminar. It would be worth a couple of hours' of attorney's fees to acquaint yourself with your
September 30, 2008
Problems in purging CRD recordsFollowing a recent U.S. Court of Appeals ruling, financial advisors will continue to find it difficult to purge their Central Registration Depository (CRD) records of consumer complaint information following a settlement agreement. This makes it all
September 30, 2008
How to market a seminar the right wayThe secret to a successful seminar is diligent planning and marketing. Let's say you are getting ready to produce a life insurance seminar. It would be worth a couple of hours' of attorney's fees to acquaint yourself with your
September 28, 2008
Paulson's Remarks Draw IreState insurance legislators and regulators as well as consumer representatives reacted angrily to comments made by Treasury Secretary Henry Paulson attacking state insurance regulation. (See ...