State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Bill Seeks to Modernize Advisor Payment Rules
By Melanie WaddellThe Clarity for Compensation Act would "permanently allow commission payments to be made directly to advisors' business entities."
January 16, 2026
Millionaire Tax in Rhode Island Gets Governor's SupportDan McKee wants to raise the state levy on incomes over $1 million to 8.99%, an increase of three percentage points.
January 15, 2026
Ex-Advisor Pleads Guilty in $72M Ponzi SchemeAmong eight defendants in the Ohio case, Doug Miller was the second to plead guilty.
January 13, 2026
12 Best States to Raise a Family: 2026These locations combine affordability with safety, jobs and access to quality education, health care and entertainment, research finds.
January 13, 2026
Florida Man Faces Trial for Alleged $36M Ponzi SchemeBrent Seaman reportedly used victims' funds for his personal expenses and to pay earlier investors.
January 12, 2026
This Type of SALT Cap Workaround Is Not OK, Appeals Court ConfirmsCourts have upheld the IRS' position prohibiting charitable contribution-for-credit programs designed to offset cap effects.
January 12, 2026
Top 10 Global Cities for the Ultra-Wealthy: 2025By 2040, Altrata’s research indicates, Generation Z and millennials will comprise nearly 35% of the global rich population.
January 09, 2026
Double-Murder Trial Set for Former LPL Network Firm EmployeeRamy Hany Mounir Fahim is accused of murdering a Pence Wealth Management co-worker and his roommate.