State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
5 new compliance headaches for advisors, BDs
By Melanie WaddellHere are five big compliance developments advisors may have missed.
September 04, 2015
5 New Compliance Headaches for Advisors, BDsAs Labor Day approaches, here are five big compliance developments advisors may have missed in recent months.
September 03, 2015
8 Issues to Address in Your Advisory ContractsYes, a prudent investment advisory contract would include more than mere boilerplate, but dont overlook the basics.
August 24, 2015
Do Republicans have a shot at winning Harry Reid's Nevada Senate seat?Joe Heck, one contender, introduced his own PPACA repeal bill.
August 24, 2015
Rick Perry tries to break out by attacking pretty much everybodyThe former Texas governor blasted John Kasich for taking Medicaid expansion money.
August 10, 2015
Uninsured rate drops sharply in some swing statesPPACA coverage expansion could have helped some residents resolve identification problems.
August 10, 2015
Uninsured rate drops sharply in some swing statesPPACA coverage expansion could have helped some residents resolve identification problems.
August 10, 2015
How Obama hurts Clinton (and helps Sanders) with unionsSome labor leaders are angry about lack of administration help with adjusting PPACA rules.