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State to assume oversight of advisers
The burden of regulating mid-size investment advisers will shift from federal to state agencies this year, a time when state budgets have been slashed and resources are limited. The Dodd-Frank financial reform act mandates this regulatory shift for midsize investment advisers, or those who have between $25 million and $100 million in assets under management. [...]
About 3,500 state residents will get refunds totaling $393,000 from title insurance companies and agents, according to the state’s Department of Regulatory Agencies. The refunds are the result of an audit of about 14,000 residential closings in 2007 and early 2008 that found “significant errors in the calculation of title insurance rates,” DORA said. As [...]
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