State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Oleys Home State Asks Congress To Pass On Federal Standards
By Arthur D. Postal, Matt BradywashingtonIn an embarrassment to the chairman of the U.S. House Financial Services Committee, the House Insurance Committee of Rep. Mike Oxley's home state legislature ...
May 01, 2005
The Side of the AngelsOur cover story this month--the IA 25--is a fairly big undertaking for the relatively small Investment Advisor editorial staff. It takes months and much agita...
April 27, 2005
Catholic Fraternal To Acquire Former ParentNU Online News Service, April 27, 2005, 4:15 p.m. EDTCatholic Knights plans to acquire a smaller fraternal benefit society, The Catholic Knights of America, ...
April 27, 2005
Surveys Focus On Actuarial ReviewState insurance regulators and a major actuarial group are exploring attitudes about the idea of setting up a peer review system for actuaries.[@@]Many advocates ...
April 20, 2005
Eliminate Bad Sales Habits That Cause Compliance HeadachesWe 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 15, 2005
California Regulator Ramps Up Broker Comp Battle (Updated)California Insurance Commissioner John Garamendi has proposed new regulations that could require insurance agents and brokers to give customers more information about compensation arrangements.[@@]"This ...
April 13, 2005
Five States Form Mini-CompactBySan Antonio, TexasFive states are not waiting for national implementation of the Interstate Compact in order to speed up the approval process on product filings.The ...
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 ...