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Regulation and Compliance

State Regulation & Compliance

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

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NASAA Adopts Rule on CE Credits for Investment Advisors
NASAA Seeks More CE Course Feedback, Adopts Whistleblower Act
NASAA Proposes CE Requirement for Investment Advisor Reps
NASAA Names an SEC Veteran as General Counsel
'Roaring Kitty' Ordered to Testify in Massachusetts
MassMutual Under Investigation Over 'Roaring Kitty'
'Roaring Kitty' Who's Pushing GameStop Is a Financial Advisor
SEC Fines Robinhood $65M for Misleading Investors, Best Execution Failures
Ex-Rep Sues Morgan Stanley Over Deferred Comp
Goldman Plans to Move Asset Managers From New York to This State
Morgan Stanley Fires Brokers Over Legacy Account Payments

New York

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Latest Registration Rules in New York May Have Far-Reaching Impact
New York State Imposes 'Unauthorized' Insurer Penalty on AIG
Alexandra Lebenthal Left Her Family Firm, and She's 'Loving It'
Should Compliance Officers Be Held Personally Liable? SEC's Peirce Weighs In

California

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Lawsuit Alleges Broad Conspiracy on GameStop Trading Restrictions
How Ace Stock Picker John Buckingham Reacted to GameStop Squeeze
Kamala Harris' Former Policy Chief Gives Peek Into New White House Priorities
How California's Privacy Act Impacts Advisors

Illinois

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GPB Capital CEO, 2 Others Arrested in Scheme That Bilked 17,000 Investors
Creative Planning Strikes Its Biggest Deal to Date
SEC Adopts New Ad Rule, Allows Client Testimonials
Illinois Insurance Director to Leave Post: Personnel Moves

Texas

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States Move to Probe GameStop Trading, Brokerage Issues
Texas Broker Charged With Child Sexual Assault, Indecency
50 States of Latest Government COVID-19 Pandemic Intensity Data
LPL Eyes Midwest Base With Waddell & Reed Deal

More from State Regulation
February 09, 2021
These 12 States Will Be the Poorest by 2025: Analysis
February 04, 2021
These 12 States Will Be the Richest by 2025: Analysis
January 26, 2021
Direct Relief for State and Local Governments: Bloink and Byrnes Go Thumb to Thumb
January 20, 2021
SEC Expected to Shift Focus to Advisors, BDs Under Biden
January 14, 2021
Biden Seeks $1.9T for Relief in First Economic Plan
January 13, 2021
Trump Is Impeached Again, Faces Senate Trial on Riot at Capitol
January 12, 2021
IRI Asks Maine to Adopt Standard Best-Interest Regs
January 05, 2021
Arkansas Adopts NAIC Annuity Model Best Interest Update
December 18, 2020
5 States With the Biggest Q3 Drops in Personal Income
December 10, 2020
Supreme Court Sides With States in Drug Benefits Ruling