State Regulation

Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.

State Regulation

Insurers Weigh In On Market Conduct

By Jim Connolly
California Might Revisit Annuity Suitability

January 08, 2004

California Might Revisit Annuity Suitability
NAIC Scrambling To Make Sure All Roads Don't Lead To D.C.

December 18, 2003

NAIC Scrambling To Make Sure All Roads Don't Lead To D.C.
N.Y. Agents Support Tougher CE Requirements

December 17, 2003

N.Y. Agents Support Tougher CE Requirements
Labor Nixes Paper-Based ERISA Advisor Filing

December 12, 2003

Labor Nixes Paper-Based ERISA Advisor Filing
AAHP-HIAA Emphasizes State Advocacy

December 11, 2003

AAHP-HIAA Emphasizes State Advocacy
Will The Real Compact Please Stand Up

December 11, 2003

Will The Real Compact Please Stand Up
Will The Real Compact Please Stand Up?

December 10, 2003

Will The Real Compact Please Stand Up?