State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Commonwealth Hit With Class-Action Suit Over Cash Sweeps
By Melanie WaddellThe complaint claims breach of fiduciary duty, breach of contract, violations of consumer protection statutes and unjust enrichment.
June 22, 2026
PRO
The True Costs of Retirement Communities, and How Advisors Can HelpCosts for developments like The Villages go far beyond the sticker price, but they can be managed with careful planning.
June 22, 2026
Why 'Move to Florida' Is Not a State Tax PlanAdvisors need to help wealthy families understand that state tax residency is more than a question of personal address.
June 18, 2026
PRO
How to Avoid the Most Common Social Security Survivor Benefit MistakesA common advisor error involves instructing widows and widowers to wait until 70 to collect benefits.
June 18, 2026
Massachusetts Court Strikes Down Tax Cut Ballot MeasureThe cut would have shrunk tax bills for state residents of all income levels while costing the state more than $5 billion a year.
June 17, 2026
PRO
Even With Marriage Equality, LGBTQ+ Clients Have Planning ChallengesMany of these clients do not have children, advisors note, complicating retirement and estate planning.
June 17, 2026
$3.5B Team Leaves UBS; $1.2B Advisor Joins FirmBeacon Coast Partners, which serves UHNW individuals and families, is launching an employee-owned RIA.
June 16, 2026
How State Tax Residency Is Becoming a Balance-Sheet IssueWhere wealthy families live affects where income is sourced, where a business is sold and where trusts are administered.