State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
CogniCor Adds Beacon Pointe Chair to Advisory Board
By Rob BurgessShannon Eusey will advise the California-based enterprise AI platform on its strategic planning and growth initiatives.
August 11, 2026
When Older Clients Remarry, Prepare for These Planning ChallengesMerging two established financial lives creates complications that aren't usually faced by younger couples.
August 10, 2026
Stifel Forks Over $3.6M to Settle More Claims Tied to Barred BrokerTwo additional settlements were paid in July in the ongoing Chuck Roberts dispute.
August 10, 2026
Raymond James Adds $1.1B TeamThe team, based in suburban Pittsburgh, joins the firm's employee advisor channel from Baird.
August 10, 2026
10 Hottest Luxury Neighborhoods: 2026Even in a buyers' market, strong demand outpaces supply in many high-end locations, Redfin finds.
August 07, 2026
Regulators Consider Tougher Annuity Reinsurance RulesThe change could have the most effect on the issuers that offer the best rates.
August 07, 2026
PRO
How Husbands' Early Social Security Claims Can Put Widows at RiskCouples who time their claims without considering survivor benefits are "asking the wrong question," an advisor says.
August 06, 2026
Nearly Half of This Social Security Benefit Goes UnclaimedForty-five percent of eligible children don't get survivor benefits, but advisors can help.