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Broker-Dealer Department of Insurance

Eversheds Sutherland (US) LLP

Who’s calling the Hoosiers? Indiana amends its telephone solicitations law

Insurance companies that do business in Indiana may be concerned that they are now required to register as a telephone solicitor with the Indiana Attorney General’s Office as a result of legislation that went into effect in...more

White and Williams LLP

South Carolina’s New Insurance Data Security Act: Pebbles Before a Landslide?

White and Williams LLP on

The ramp-up of cybersecurity regulation, albeit in a patchwork fashion through state-level legislation, has begun. On May 18, 2018, South Carolina enacted the Insurance Data Security Act (Act), becoming the first state to...more

Dorsey & Whitney LLP

SEC, FINRA, DC Sanction Success Trade

Dorsey & Whitney LLP on

A recurrent theme in today’s enforcement environment is parallel and often overlapping proceedings. That is the case with a District of Columbia based broker that drew sanctions from the SEC, FINRA and DC. In the Matter of...more

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