State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Democratic Senate candidates turn to unions for help
By Laura LitvanThe AFL-CIO, the SEIU and the NEA are preparing to spend heavily.
March 03, 2014
Buffett says pension tapeworm means years of bad newsPublic pension plans threaten the financial health of U.S. cities and states more than taxpayers realize.
February 24, 2014
Did You Miss the Deadline on the SEC’s Reg S-ID?Your firm may be required to adopt a written identity theft prevention program under new Regulation S-ID even if you do not have custody.
February 21, 2014
Dental plans find cavities in exchange statsHHS has posted activity numbers for the federal markets but not for the state-based markets.
February 20, 2014
Exchange may form an audit committeeThe California panel would have two members and meet twice a year.
February 12, 2014
Exchange activity slowsThe number of individuals selecting plans fell 44 percent between December and January.
February 12, 2014
Rise of Robots Brings Host of Labor Law QuestionsAs many financial planners struggle to find a balance with robo-advisors, a panel discusses what robotics and automation mean for decades-old workplace laws.
February 04, 2014
Medical marijuana leaves workers’ comp in cloud of confusionFederal vs. state on the issue of weed.