State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Complying With Do-Not-Call
By Scott FreyByIf you are a sales agent for a financial services or insurance company, it is imperative that you take steps to comply with the ...
November 05, 2003
NAIC And NCOIL Witnesses Defend State Regulation At House HearingNU Online News Service, Nov. 5, 2003, 6:07 p.m. EST -- Representatives for the National Association of Insurance Commissioners, Kansas City, Mo., and the ...
November 04, 2003
UnumProvident, Groups Comment On NCOIL Market Conduct ModelNU Online News Service, Nov. 4, 2003, 7:33 p.m. EST -- Debate about a proposed market conduct model law is opening up a discussion ...
October 10, 2003
Consolidated Billing Hires Western Sales ManagerNU Online News Service, Oct. 10, 2003, 12:24 p.m. EST -- Consolidated Billing Company, Fort Lauderdale, has hired John Jacen to be regional sales ...
October 09, 2003
NAIC, NCOIL, ACLI Weigh In On GAO Market Conduct ReportNU Online News Service, Oct. 9, 2003, 9:24 p.m. EDT -- Groups representing state lawmakers and state insurance regulators disagree with the American Council ...
October 02, 2003
GAO Not Sure Whether States Can Standardize Market Conduct EffortsNU Online News Service, Oct. 2, 2003, 6:11 p.m. EDT -- The National Association of Insurance Commissioners, Kansas City, Mo., should give more priority ...
September 29, 2003
AFLAC Splits Top U.S. Sales, Marketing ResponsibilityNU Online News Service, Sept. 29, 2003, 3:47 p.m. EDT -- AFLAC Inc., Columbus, Ga., says it is splitting responsibility for U.S. sales and ...
September 26, 2003
Regulators Continue Fine-Tuning Insurance RulesNU Online News Service, Sept. 26, 2003, 9:25 a.m. EDT -- Market regulation ranked just behind consumer protection as the number one concern of ...