State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Fly Right
By Marlene Y. SatterWith changes afoot on everything from e-mail archiving to breakpoints to money laundering and the Patriot Act, independent broker/dealers have to be nimble. Into the...
May 20, 2004
L20 Boomer 529 text box ttWHAT'S AHEADAmong other trends predicted in FRC's 529 plan research report: New 529 plan providers will enter the business as smaller vendors exit because of ...
May 10, 2004
More States Introduce Filing Compact BillsNU Online News Service, May 10, 2004, 5:39 p.m. EDT -- Many states are helping with efforts to create a "single point of filing" ...
May 07, 2004
Former NAIC Head Defends State RegulationNU Online News Service, May 7, 2004, 6:17 p.m. EDT -- A former president of the National Association of Insurance Commissioners and the head ...
April 22, 2004
Congress Will Not Consider A Federal Regulator, Baker AssertsByWashingtonThere must be some mechanism to force states to establish uniform insurance regulation, but the 108th Congress will not consider creation of a federal regulator, ...
April 08, 2004
Missouri Bill Gives Securities Regulator Authority Over Variable ProductsMissouri Bill Gives Securities Regulator Authority Over Variable ProductsByMissouri legislators are considering a bill that would put variable products under the purview of both insurance ...
April 06, 2004
Variable Products Bill Advances In Mo.NU Online News Service, April 6, 2004, 2:40 p.m. EST -- Missouri legislators are considering a bill that would put variable products under the ...
April 02, 2004
NAIC May Add Auditing RequirementsNU Online News Service, April 2, 2004, 4:02 p.m. EST -- Regulators want insurers to certify that their internal financial reporting controls are effective.[@@]Doug ...