State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
California AG asks for review of Neasham reversal
By Maria WoodThe states attorney general wants the California Supreme Court to review the appeals court decision that overturned Glenn Neashams conviction on theft from a senior.
November 20, 2013
More PPACA changes draw mixed reviewsNAIFA welcomes a subsidy move; commissioners split on the policy extension proposal.
November 20, 2013
More PPACA changes draw mixed reviewsNAIFA welcomes a subsidy move; commissioners split on the policy extension proposal.
November 19, 2013
Morningstar: City Pensions in Good Shape, Sort OfA report finds that while some cities are adequately managing their pension liabilities, many are coming under duress.
November 15, 2013
Massachusetts Regulator Finds Custody Infractions Among Switching AdvisorsAdvisors that switched will have to comply with "stricter" state custody rules and absorb the cost, the Massachusetts Securities Division says.
November 11, 2013
Avalere charts exchange enrollment progressVermont and Rhode Island are in the lead. HHS is supposed to post numbers this week.
November 07, 2013
SIFMA Launches Investor First Initiative; CEO Gregg Says SEC Should Go First on FiduciaryThe Our Partnership with You initiative is designed to help investors get the most out of their relationship with their advisor.
November 06, 2013
Sebelius gets a gift she probably doesn’t wantThe HHS secretary was less than amused.