State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
FSI Endorses STP Initiative
By Linda KocoThe Financial Services Institute has endorsed NAVA Inc.'s new straight-through processing initiative for selling annuities.Insurers and distributors that belong to NAVA, Reston, Va., developed the ...
July 01, 2007
A few good compliance officersAlmost four in 10 financial advisors have been told by compliance officers they could not engage in an activity the advisor knew was both legal and within regulations. Yikes. That is the most troubling finding of a new study of 100 financial
July 01, 2007
Pershing Hosts Powell, Other VIPs near MiamiThe annual Pershing INSITE conference keeps getting bigger and better, event organizers say. This year's INSITE 2007, held June 6-8 at the Westin Diplomat Resort...
June 30, 2007
A few good compliance officersAlmost four in 10 financial advisors have been told by compliance officers they could not engage in an activity the advisor knew was both legal and within regulations. Yikes. That is the most troubling finding of a new study of 100 financial
June 25, 2007
ACLI Welcomes Vote On Reinsurance BillMembers of the House today voted unanimously to pass a bill that could change regulation of the surplus lines and reinsurance markets.Implementation of the bill, ...
June 21, 2007
Lawmakers Continue To Press For Open MeetingsMembers of the National Conference of Insurance Legislators should look at state open meeting laws to make sure that state representatives do not attend closed ...
June 20, 2007
Lawmakers Continue To Press For Open MeetingsMembers of the National Conference of Insurance Legislators should look at state open meeting laws to make sure that state representatives do not attend closed ...
June 19, 2007
Feds Let Bank Of Ireland Manage Plan InvestmentsA well-regulated U.S. branch of a foreign bank can manage collective investment funds for U.S. employee benefit plans.Louis Campagna, chief of the Fiduciary Interpretations Division ...