State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Roundtable Proposes New National Charters
By Staff WriterA group that represents financial services giants wants the United States to give companies a chance to choose from a menu of three new optional ...
October 31, 2007
Building a secure future with compound interestQ. I need some guidance about the inflation protection benefit. Adding this to the policy really increases the premium. Is this benefit necessary, and if so, could you provide guidelines about when to recommend it? This month, we continue on the
October 30, 2007
NAIFA And NAILBA Weigh In On Regulatory ReformLife producer groups today had a national stage for discussing whether insurers and agents should get to choose between state regulation and regulation by a ...
October 28, 2007
IMSA Says It Is Ready To Launch Suitability CertificationA new certification program will make it easier for life insurers to track annuity suitability from third-party distributors, according to the Insurance Marketplace Standards Association, ...
October 28, 2007
IMSA Says It Is Ready To Launch Suitability CertificationA new certification program will make it easier for life insurers to track annuity suitability from third-party distributors, according to the Insurance Marketplace Standards Association, ...
October 16, 2007
Nationwide NASAA Exams Reveal Advisor DeficienciesThe North American Securities Administrators Association (NASAA) has released a list of best practices advisors should use after coordinated exams by 43 state and provincial securities examiners revealed deficiencies in a number of areas.
October 12, 2007
GAO: Shift To Principles Might Be A Mixed BagTop financial services experts say shifting to a principles-based approach to regulation could cause problems.Yvonne Jones, a director at the U.S. Government Accountability Office, writes ...
October 12, 2007
GAO: Shift To Principles Might Be A Mixed BagTop financial services experts say shifting to a principles-based approach to regulation could cause problems.Yvonne Jones, a director at the U.S. Government Accountability Office, writes ...