State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Books and Records Infractions Still Big Problem for State-Registered Advisors
By Melanie WaddellOther top problem areas for state-registered advisors: contracts, registration, fees and custody.
September 23, 2015
15 U.S. cities that were hurt the most by the recessionSome cities across the United States have not recovered as quickly as others -- and they're not necessarily the cities you would expect.
September 23, 2015
NASAA: States Doled Out $579M in Enforcement Penalties in 2014Private placement offerings, real estate investments and crowdfunding were ripe areas for fraud, state securities regulators reported.
September 16, 2015
GAO: PPACA exchanges still have $703 million in federal IT grant moneyMinnesota may be the state-based exchange with the most dry powder.
September 16, 2015
GAO: PPACA exchanges still have $703 million in federal IT grant moneyMinnesota may be the state-based exchange with the most dry powder.
September 15, 2015
Illinois forces towns to either eat higher costs or avoid marketHospitals may face delays in getting construction and renovation financing.
September 15, 2015
Illinois forces towns to either eat higher costs or avoid marketHospitals may face delays in getting construction and renovation financing.
September 11, 2015
5 new compliance headaches for advisors, BDsHere are five big compliance developments advisors may have missed.