State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Compliance Zero Hour
By Melanie WaddellThe October 5 deadline for advisors to appoint a chief compliance officer and adopt formal compliance procedures is right around the corner. Are you ready? My...
August 18, 2004
NAIC President To Head Major P-C GroupByErnst Csiszar said he was resigning his positions as South Carolina insurance director and president of the National Association of Insurance Commissioners to become president ...
August 18, 2004
NAIC President To Head P-C Trade GroupErnst Csiszar says he has resigned as South Carolina insurance director to become president of the Property Casualty Insurers Association of America, Des Plaines, ...
August 11, 2004
Producer Groups Object To Fingerprinting PlanRegulatory efforts to streamline criminal background checks have some industry representatives objecting to the system of fingerprinting producers and others.[@@]
August 11, 2004
Nevada To Appeal Agents Signature RulingA federal judge has overturned the state's countersignature law that barred out-of-state insurance brokers from doing business in the state without involving an admitted ...
August 04, 2004
GAO Supports Insurance Regulator Access To FBI Criminal DatabaseGAO Supports Insurance Regulator Access To FBI Criminal DatabaseA General Accounting Office study is providing support for a provision in the so-called "roadmap" legislation that ...
August 04, 2004
New York Regulators Clarify The Definition Of 'Clean Claim'New York Regulators Clarify The Definition Of Clean ClaimByNew York state insurance regulators are trying to keep disputes about the definition of "clean claim" from ...
August 03, 2004
New York Tries To Clarify Clean-Claim DefinitionNew York state insurance regulators are trying to give doctors, hospitals and health carriers a clearer definition of what constitutes a clean claim.[@@]The regulators ...