State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
15 best practices to protect clients from elder financial fraud
By Emily HolbrookWith the U.S. population aging at a rate never before seen, cases of elder financial fraud are skyrocketing. Here's how to protect yourself and your client.
September 30, 2015
Top 5 states with the highest state debtHere are the five states with the highest level of state debt when it is divided up amongst the population -- aka "the sinkhole states."
September 30, 2015
Top 5 states with the highest state debtHere are the five states with the highest level of state debt when it is divided up amongst the population -- aka "the sinkhole states."
September 29, 2015
Democrat proposes PPACA small-group definition alternativesFrank Pallone calls for a temporary definition-change delay.
September 29, 2015
Democrat proposes PPACA small-group definition alternativesFrank Pallone calls for a temporary definition-change delay.
September 28, 2015
What Is — or Isn't — Crowdfunding, Anyway?Are all three of the provisions that were ushered in under the JOBS Act to ease restrictions on capital raising actually crowdfunding?
September 28, 2015
Treasury Considers Anti-Money Laundering RegsAnti-money laundering requirements are they coming soon to an advisory firm near you? Maybe, perhaps as soon as next year.