State Regulation

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

RIA Growth Could Stall in 2025: Report

May 30, 2025

RIA Growth Could Stall in 2025: Report
Let States Regulate Insurance AI, Industry Group Says

May 28, 2025

Let States Regulate Insurance AI, Industry Group Says
New York's Annuity Replacement System Is Too Slow, Lawmakers Say

May 23, 2025

New York's Annuity Replacement System Is Too Slow, Lawmakers Say
Trial Date Set for Ex-Banker Charged With Killing BofA Exec

May 22, 2025

Trial Date Set for Ex-Banker Charged With Killing BofA Exec
Texas Bill Could Speed Up Annuity Exchanges and Transfers

May 22, 2025

Texas Bill Could Speed Up Annuity Exchanges and Transfers
Judge Rejects $40M Class-Action Settlement in Vanguard Target-Date Selloff Case

May 20, 2025

Judge Rejects $40M Class-Action Settlement in Vanguard Target-Date Selloff Case
Retiree Sues Schwab, Hightower Over $422,000 Portfolio Loss

May 14, 2025

Retiree Sues Schwab, Hightower Over $422,000 Portfolio Loss