State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Prof gauges exchange death spiral risk
By Allison BellSeth Chandler says some states look a lot better than others.
January 13, 2014
States race to convert approvalsMassachusetts and Maryland lead in terms of getting qualified prospects to sign up.
January 09, 2014
OppenheimerFunds Names Picciotto CCOMark Vandehey, Oppenheimers current CCO, plans to retire after a transition period with Picciotto.
January 02, 2014
Several attorneys general call PPACA changes illegalPatrick Morrisey earlier organized a letter about HealthCare.gov problems.
December 19, 2013
Keep retired clients from getting taxed twice when they moveMake sure to consider the state tax implications that may arise when clients tap into retirement income from deferred comp plans after theyve relocated.
December 19, 2013
Massachusetts to Require Background Checks for AdvisorsThe state "believes that it is in the public interest and for the protection of investors," said Secretary William Galvin.
December 17, 2013
State insurance concerns bubble up to federal levelThe OFR report zeroes in on captives, one of the perceived weaknesses of state regulation seen by Treasury.