State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Hartford Markets Multi-Manager 529 Plan
By Staff WriterNU Online News Service, July 14, 2003, 7:55 p.m. EDT -- The Hartford Financial Services Group Inc., Hartford, is marketing a new, multi-manager 529 ...
July 03, 2003
NCOIL To Draft Model Market Conduct LawNU Online News Service, July 3, 2003, 4:04 p.m. EDT -- The National Conference of Insurance Legislators, Albany, N.Y., will begin developing a market ...
June 29, 2003
NAIC Promises Suitability Model SoonByNew York With a big push from the leadership at the National Association of Insurance Commissioners, regulatory guideposts for the suitability of annuity sales to ...
June 29, 2003
State Legislators Intend To Pursue A Market Conduct Model LawState Legislators Intend To Pursue A Market Conduct Model LawByNew York State legislators confirmed plans to develop a market conduct model law and asked insurance ...
June 22, 2003
Concerns Remain As NAIC Tries To Advance Suitability ModelConcerns Remain As NAIC Tries To Advance Suitability ModelByLingering concerns over the details of proposed suitability regulation that would protect senior citizens who purchase annuities ...
June 15, 2003
Opinion Diverges On Market ConductByRecent industry discussions suggest that there is significant disparity over how to create a market conduct mechanism, a goal most support.That disparity was highlighted both ...
June 13, 2003
Insurers Skeptical About Second Data CallNU Online News Service, June 13, 2003, 5:03 p.m. EDT -- Insurers want state regulators to analyze information they already have collected for a ...
June 12, 2003
State Lawmakers Ponder Market Conduct Model ProposalNU Online News Service, June 12, 2003, 5:30 p.m. EDT -- State lawmakers need to hold more discussions about the idea of creating a ...