State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NABIP Creates 10-Point Health Care Bill of Rights
By Allison BellThe health agent and consultant group says that affordability should be one of the guaranteed principles.
March 05, 2024
Federal Appeals Court Lets Universal Life Rate Suit ContinueAn insurer might have to include mortality in cost-of-insurance rate scale updates, an 11th Circuit panel ruled.
March 01, 2024
5 Top Threats State Securities Regulators Are Watching NowThese new and ongoing scams are the top threats to investors this year, the regulators say.
February 29, 2024
California Governor Signs Annuity Best Interest Sales Rule BillGavin Newsom's support for the NAIC approach could stop the DOL fiduciary definition proposal.
February 29, 2024
Ex-Morgan Stanley Advisor Says Co-Worker Proposed Honeypot SchemeThe co-worker wanted her "to use her sex and her looks" to attract clients, a lawsuit says.
February 26, 2024
Advisor Accused of Taking $1.6M Faces Wire Fraud ChargeProsecutors allege that the wealth manager misappropriated client funds, using them for her real estate business.
February 23, 2024
California Legislature OKs Annuity Sales Rule UpdateApproval gives Gov. Gavin Newsom a chance to weigh in on financial services regulation.
February 21, 2024
New Ownership Reporting Rules Probably Apply to Your Small-Business ClientsOwners of existing businesses, including LLCs, must disclose ownership to FinCEN by Jan. 1.