State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Should All Annuity Illustrations Assume a 5% Interest Rate?
By Allison BellUsing one arbitrary rate could keep the explanatory guides from looking like forecasts, a group told regulators.
May 20, 2026
Citi Discloses Over 300 New York Layoffs, Part of Ongoing Job CutsThe banking giant has been moving to eliminate 20,000 positions over two years.
May 20, 2026
Black Edward Jones Advisors Are Set Up to Fail, Class-Action Suit AllegesWhite financial advisors receive better asset transfers and compensation, according to a suit by six former advisors.
May 20, 2026
Bluespring Wealth Acquires $1.1B Synthesis Wealth PlanningInorganic growth, according to Pradeep Jayaraman, president of the financial services firm, works only when it's intentional.
May 19, 2026
How to Keep Client Couples' Simultaneous Retirements From Going WrongCouples who leave the workforce at the same time may be surprised when expectations don't meet reality.
May 19, 2026
Orion, Flourish Expand Integration for Held-Away Cash VisibilityThe move supports advisor-client conversations around cash-flow planning, distributions, excess cash management, Orion exec Trent Mumma says.
May 18, 2026
Creating a Successful Multi-Generational Household Takes PlanningThe details of such an arrangement are essential for clients to make it work.
May 18, 2026
Nitrogen Rolls Out Legacy CenterThe new platform, according to CEO Dan Zitting, helps address advisor concerns over generational wealth transfers.