State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Global Investor Confidence Mixed After ‘Interesting’ February: State Street
By Janet LevauxEuropeans' confidence dropped sharply while North American and Asian investors were actually more optimistic this month, State Street said.
February 12, 2016
South Carolina focus group praises Cruz but sees Trump winOne voter praised Cruz for getting on the Senate floor and fighting PPACA.
February 05, 2016
5 of the top regulatory hurdles facing insurers in 2016The FSOC warns that life insurers' captive reinsurers pose a systemic threat to the stability of the U.S. economy."
February 05, 2016
5 of the top regulatory hurdles facing insurers in 2016The FSOC warns that life insurers' captive reinsurers pose a systemic threat to the stability of the U.S. economy."
February 01, 2016
NASAA Adopts Model Rule to Fight Senior Financial AbuseThe model rule, should states choose to adopt it, would allow BDs or advisors to delay disbursements when they suspect financial exploitation.
February 01, 2016
When the preferable is not availableSure, your clients like you. But how quickly can they reach you?
January 28, 2016
Where FINRA, SEC and NASAA Are Really Focusing This YearAt FSI OneVoice, regulators say theyre looking at everything from recruitment compensation and conflicts of interest to elder fraud.
January 28, 2016
Dear Breakaway Broker: Know Your Employment Agreement(s)Whether youre a rep, an RIA or an advisor employer, its wise to understand the legal issues around employment.