State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Ex-Merrill Advisor Accused of Stealing Nearly $2.6M From Retired Miami Dolphin
By Dinah Wisenberg BrinIsaiah T. Williams Jr. was arrested and released on a $1 million bond.
June 09, 2025
LPL, Edward Jones Among 5 Firms Ordered to Pay $29M Over Excessive CommissionsThe firms charged nearly $19 million in unreasonably high commissions over five years, state regulators say.
June 04, 2025
Kellyanne Conway Talks Trump Tariffs"I don’t know why anybody’s surprised that he went ahead with tariffs," the former Trump advisor said Wednesday.
June 03, 2025
BlackRock Escapes Texas Oil-Boycott Blacklist After ESG RetreatThe state's pension funds and investment accounts can buy the firm's shares and ETFs and hire it for advice.
May 30, 2025
RIA Growth Could Stall in 2025: ReportWhile the number of SEC-registered advisors grew in 2024, economic and other factors could shift that trend.
May 28, 2025
Let States Regulate Insurance AI, Industry Group SaysThe American InsurTech Council opposes efforts to restrict state oversight for 10 years.
May 23, 2025
New York's Annuity Replacement System Is Too Slow, Lawmakers SayTheir reasoning may spell trouble for product comparison requirements at the purchase stage.
May 22, 2025
Trial Date Set for Ex-Banker Charged With Killing BofA ExecAnthony Duwayne Turner's trial is set for June; a planned pretrial hearing involves a motion to dismiss the case.