State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Former Northern Trust VP at Center of $35M Elder Fraud Suit Pleads Not Guilty
By Melanie WaddellChristopher Walters, accused by Elizabeth Madden (pictured) of raiding a $20 million legacy trust, now faces criminal charges.
July 01, 2026
Luxury Home Prices Rose Most in These 12 U.S. CitiesHigh prices and strong demand, Redfin reports, have made this a favorable moment for well-off homeowners to cash out.
June 30, 2026
Vestmark Opens AI R&D Hub in BostonThe Center for AI Research and Development will develop artificial intelligence-enabled and software solutions for wealth management.
June 30, 2026
12 States Where Gas Prices Have Fallen MostLower prices and higher household incomes, SmartAsset finds, make filling a tank more affordable in some locations.
June 29, 2026
NAIC Faces CyberattackAt least three rating agencies said they have paused the data feeds that normally flow to the regulator group.
June 26, 2026
Judge Scraps United Capital's Poaching Case Against OsaicThe court allowed United Capital the opportunity to amend and refile the complaint.
June 24, 2026
Commonwealth Hit With Class-Action Suit Over Cash SweepsThe complaint claims breach of fiduciary duty, breach of contract, violations of consumer protection statutes and unjust enrichment.
June 23, 2026
These Factors Have a Big Impact on Retirement Health CostsA five-year change in retirement timing or life span can affect costs significantly, Milliman reports.