State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
10 things you MUST know about the new PPACA regs
By Allison BellOne message is that sellers of some HRA-based products are on regulators' to-catch list.
November 11, 2015
10 states where workers went to hellHoping the older Americans of the future will be healthier? Avoid reading worker disability data.
November 11, 2015
10 states where workers went to hellHoping the older Americans of the future will be healthier? Avoid reading worker disability data.
November 06, 2015
Treasury’s AML Plan for Advisors Needs Big Changes: IAAIAA says FinCEN's plan is based on a "fundamental misunderstanding" of the services advisors provide.
November 06, 2015
Obama Rejects Keystone PipelineObama has ended seven years of debate over an infrastructure project that swelled into one of the most contentious environmental issues of his presidency.
October 26, 2015
Fidelity ‘Ignored’ Unregistered Advisors Trading on Its Platform, Regulator SaysFidelity served as a haven from regulatory oversight for at least 13 unregistered Massachusetts advisors, says the state's top securities regulator, William Galvin.
October 19, 2015
11 Cool Crowdfunded ProductsCheck out these novel products that came to market because of crowdfunding plus the three-wheeled $7,000 vehicle seeking funding now.
October 15, 2015
12 Worst States for Advisor Pay: 2015Cost of living and salary differences must be weighed when looking at locations to set up your advisory shop.