State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Eliminate Bad Sales Habits That Cause Compliance Headaches
By Dennis GronerWe all have them--habits that we have developed over time that we know we should change, but can't. Perhaps it was because we learned ...
April 06, 2005
N.J., N.Y. Statutory Disability Programs Create OpportunitiesByAlmost every wage earner needs disability insurance. The legislatures of New Jersey and New York recognized this fact more than half a century ago when ...
March 30, 2005
Smarting From SMARTIt looks like the National Association of Insurance Commissioners has decided on a high-stakes strategy in the game of federal regulation, something perhaps along the ...
March 29, 2005
Regulator Reassures Lawmakers About Rule ChangesState insurance regulators are telling state legislators that they are not out to use annual statement instructions to impose tough new financial reporting standards.[@@]Doug ...
March 24, 2005
NAIC President Criticizes Oxley-Baker BillThe leader of the National Association of Insurance Commissioners says commissioners have concerns about the "basic structure" of the proposed State Modernization and Regulatory ...
March 23, 2005
Regulators Respond To Legistlators' SOX ConcernsRegulators Respond To Legislators SOX Concerns NAIC says SOX best practices wont be incorporated automatically into state lawsBy Jim ConnollyInsurance regulators responded to concerns voiced ...
March 16, 2005
Regulators Prepare To Launch Fingerprinting PilotA group of 5 states will begin testing a centralized insurance producer fingerprinting program April 1.[@@]The fingerprinting pilot program will include Alaska, California, Idaho, ...
March 16, 2005
Start Of Producer Fingerprint Pilot Project Is ImminentStart Of Producer Fingerprint Pilot Project Is ImminentbySalt Lake CityThe first phase of the pilot project to create a centralized producer fingerprint repository is scheduled ...