State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
New Jersey Becomes 50th State to Adopt Annuity Best-Interest Sales Standard
By Allison BellSupporters managed to change the rules throughout the United States in less than five years.
April 02, 2025
Life and Annuity Pros Need a Site Like BrokerCheck, Advocates SayConsumer advocates want the NAIC to run a site for checking the backgrounds of agents, navigators and others.
March 28, 2025
Robinhood Prediction-Markets Arm Gets Massachusetts SubpoenaSecretary of State Bill Galvin is looking into links to gambling for its sports-event contracts.
March 26, 2025
Hit by 777 Partners Woes, Annuity Issuer Faces Rehab PetitionUtah says Sentinel Security's investments with the private equity firm are worthless.
March 25, 2025
State Regulators to Congress: Please Kill Treasury's Insurance OfficeState regulators also want Congress to give them a voting seat on the Financial Stability Oversight Council.
March 25, 2025
Barred Broker Charged in Alleged $1.24M Ponzi SchemeMarat Likhtenstein, who was fired from Osaic in 2024, now faces grand larceny charges.
March 20, 2025
Life Advocacy Center Sues California Insurance Regulators Over Complaint DataThe state's department contends that the information requested is confidential.
March 18, 2025
Crooks Are Using Life and Annuity Products to Launder Money, Fraud Tracker SaysCriminals are learning that insurers ask fewer questions than bankers.