State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
October 01, 2016
Liquid AchievementsSolid second-quarter 2016 (Q216) results are reported as American States Water beats estimates: Sales of $112.0 million surpassed our $109.0 million estimate for AWR.
September 30, 2016
Greenberg judge takes trial reins after losing sleep over dealNew York State Supreme Court Justice Charles Ramos interrupted Assistant Attorney General David Nachman and asked Greenberg directly about an issue he said led him to a sleepless night.
September 30, 2016
When SEC and State Advisor Regulation CollideSection 222(d) of the Advisers Act cleared up those de minimis conflicts between federal and state regulation, right? Not exactly, Chris Stanley says.
September 29, 2016
California Suspends ‘Business Relationships’ With Wells FargoCalifornia is the largest municipal-bond issuer in the U.S. and has $75 billion in investments.
September 27, 2016
Why the ACA exchange system could do fine in 2017Sure, it could be doomed. But it could also muddle through.
September 27, 2016
Ex-AIG head Greenberg finally gets to tell his story at trialThe 91-year-old World War II veteran took the witness stand in a Manhattan courtroom Tuesday.
September 27, 2016
Community Property: When Federal-State IRA Rules CollideSorting out the state community property rules and IRS rules on beneficiary designations in retirement accounts.