State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Cresset Appoints Head of Family Office Services
By Rob BurgessMark Tremblay, from Bessemer Trust, says regular advisors can take a page from a family office's holistic approach.
June 15, 2026
New York Tax Preparer Sentenced in $50M Ponzi SchemeMiles Burton Marshall had pleaded guilty to grand larceny, securities fraud and scheme to defraud.
June 15, 2026
Gavin Newsom Rushes to Sink California Billionaire Tax Before June DeadlineThe state governor assured a major Democratic donor the levy would be successfully negotiated away before June 25.
June 12, 2026
Regulators Start Talks About Life and Annuity Wholesaler-Pay Disclosure RulesThe existing framework already covers this information, an Insured Retirement Institute executive told state regulators.
June 12, 2026
PRO
Are More Life and Annuity Issuers Set to Merge?The Corebridge-Equitable deal has other CEOs thinking about additional M&As. Here's what a deal surge could mean for advisors and for the industry.
June 11, 2026
12 States Where Advisor Income Grew the Most in 2025Of the 40 states with available data, SmartAsset reports, all but 11 saw advisors' median income increase.
June 11, 2026
LPL, PGA Announce PartnershipThe collaboration, the broker-dealer's first with a sports entity, will debut in 2027.
June 11, 2026
FINNY Launches Enterprise PlatformPresident Victoria Toli said the firm went live with Mercer Global Advisors, the inaugural flagship user, in January.