State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Blues may rise or fall with exchanges
By Allison BellThe fate of traditional pension plans may be another driver, Fitch analysts say.
April 03, 2014
Tracking, complying with regs top concerns of industry execsThe reports main regulatory and risk management indicator fell to 96 from a baseline of 100 established in Q4 2013.
April 03, 2014
Tracking, complying with regs top concerns of industry execsThe reports main regulatory and risk management indicator fell to 96 from a baseline of 100 established in Q4 2013.
April 03, 2014
Governors express concern about FIO reportThe NGA expressed concern to Treasury Secretary Jacob Lew about the FIO's regulatory modernization report and its role in the larger state vs. federal regulation debate.
April 02, 2014
Remember the WARN ActEmployers that fail to send the right notices may have to pay former employees' medical bills.
April 01, 2014
Top 10 States With Fastest 401(k) GrowthThe average 401(k) balance in 2012 was nearly $76,000, up 11% over 2011, according to Judy Diamond Associates.
March 28, 2014
Exchange surge may varyVolume may have doubled nationally but dropped in some states.
March 27, 2014
Why the SEC Must Revise Its Proposed Reg A RuleThe SEC wants to transform Regulation A offerings into covered securities, which by law are not subject to state review. That's not what Congress intended.