State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Mathematically Challenged
By Staff WriterAs if putting a kid through college was not difficult enough, now there are intimations that state-sponsored college savings plans are sticking it to the ...
June 11, 2004
NCOIL President Criticizes Oxley Reform RoadmapNU Online News Service, June 11, 2004, 5:39 p.m. EDT -- The head of the National Conference of Insurance Legislators, Albany, N.Y., has warned ...
June 03, 2004
GAO Official: Centralize Market Conduct Data AnalysisNU Online News Service, June 3, 2004, 5:59 p.m. EDT, Washington -- The market analysis component of state market conduct oversight should be centralized ...
June 03, 2004
GAO Official Puts Forth Market Conduct ProposalGAO Official Puts Forth Market Conduct ProposalByWashingtonThe market analysis component of state market conduct oversight should be centralized and probably placed in the hands of ...
May 27, 2004
Insurers Object To Cost Of SOX ComplianceNU Online News Service, May 27, 2004, 6:07 p.m. EDT -- The National Association of Insurance Commissioners will hold a hearing next month on ...
May 24, 2004
Falling Rates Hit 1Q U.S. Pension Funding LevelNU Online News Service, May 24, 2004, 2:15 p.m. EDT -- Defined benefit pension plans probably did well in Australia and poorly in the ...
May 20, 2004
L20 Boomer 529 text box ttWHAT'S AHEADAmong other trends predicted in FRC's 529 plan research report: New 529 plan providers will enter the business as smaller vendors exit because of ...