State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Labor Nixes Paper-Based ERISA Advisor Filing
By Allison BellNU Online News Service, Dec. 12, 2003, 5:25 p.m. EST -- The U.S. Department of Labor wants small firms that manage benefit plan investments ...
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 ...