State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
December 11, 2003
Will The Real Compact Please Stand UpByAnaheim, Calif. An alternate product filing approach announced by three large states was called "reckless" by New York Insurance Superintendent Greg Serio.California, Florida and Texas ...
December 10, 2003
Will The Real Compact Please Stand Up?NU Online News Service, Dec. 10, 2003, 9:56 a.m. EST, Anaheim, Calif. -- California, Florida and Texas announced an alternate product filing approach here ...
December 04, 2003
Complying With Do-Not-CallByIf you are a sales agent for a financial services or insurance company, it is imperative that you take steps to comply with the ...
December 04, 2003
Analyst Doubts EU Will Limit Capital FlowsNU Online News Service, Dec. 4, 2003, 8:33 p.m. EST -- A group of researchers at the European Union's Directorate General for Economic and ...
November 06, 2003
NCOIL Market Conduct Model AiredByA proposed market conduct model law is prompting a discussion on how to balance consumer protections, state regulatory authority, and costs and administrative burdens on ...
November 05, 2003
NAIC And NCOIL Witnesses Defend State Regulation At House HearingNU Online News Service, Nov. 5, 2003, 6:07 p.m. EST -- Representatives for the National Association of Insurance Commissioners, Kansas City, Mo., and the ...
November 04, 2003
UnumProvident, Groups Comment On NCOIL Market Conduct ModelNU Online News Service, Nov. 4, 2003, 7:33 p.m. EST -- Debate about a proposed market conduct model law is opening up a discussion ...
October 10, 2003
Consolidated Billing Hires Western Sales ManagerNU Online News Service, Oct. 10, 2003, 12:24 p.m. EST -- Consolidated Billing Company, Fort Lauderdale, has hired John Jacen to be regional sales ...
October 09, 2003
NAIC, NCOIL, ACLI Weigh In On GAO Market Conduct ReportNU Online News Service, Oct. 9, 2003, 9:24 p.m. EDT -- Groups representing state lawmakers and state insurance regulators disagree with the American Council ...
October 02, 2003
GAO Not Sure Whether States Can Standardize Market Conduct EffortsNU Online News Service, Oct. 2, 2003, 6:11 p.m. EDT -- The National Association of Insurance Commissioners, Kansas City, Mo., should give more priority ...