State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
In state with 79 percent hole in pension plan, lawmakers are doing fine
By Darrell Preston, Margaret NewkirkKentuckys retired state workers pension fund is the most underfunded in the country, yet the state's lawmakers don't have that problem.
June 25, 2015
SEC Suspends Advisory Firm's Ex-President for Failing to Heed CCO Pleas for HelpSEC says the firm, Pekin Singer, breached ethics rules by failing to place clients in a lower-cost share class of the Appleseed Fund it managed.
June 25, 2015
The 8 best lines from the huge PPACA ruling, from applesauce to jiggery-pokeryThe Supreme Court ended months of speculation Thursday when it rejected a potentially fatal challenge to Obamacare in King v. Burwell.
June 18, 2015
Combating Elder Abuse Requires More Than Raising AwarenessNASAA is drafting model legislation to address how broker-dealers and advisors should respond when they suspect or detect senior financial exploitation.
June 17, 2015
What You Need to Know Before Investing in EnergyGaining knowledge of the energy industry is a significant step in understanding how to invest in and profit from it.
June 17, 2015
Home Security Cameras: ‘Gotcha Cams’ Deter or Detect Crimes, at a CostThe market for pinhole video cameras is booming, but high-net-worth families should know the disconcerting legal consequences for their improper use.
June 16, 2015
House Introduces Internet Sales Tax BillNAREITs president and CEO says House bill "would create a more level playing field on which all retailers may compete."
June 15, 2015
Employees' medical marijuana use not protected under state law, says Colorado Supreme CourtFederal law continues to trump state law in definition of 'lawful activities' when it comes to medical marijuana.