State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
When Clients Move to Florida, Watch Out for These Estate Planning Quirks
By Jane Wollman Rusoff"There are nuances in Florida law," estate lawyer Tasha Dickinson tells ThinkAdvisor.
October 09, 2025
6 Questions to Ask About Moving Trusts to Low-Tax StatesThere’s a lot to consider when it comes to relocating the entities in order to reduce taxation.
October 09, 2025
New York Launches Roth Auto-IRA ProgramThe state's Secure Choice Savings Program is live, requiring most employers to provide retirement benefits access.
September 26, 2025
Draft Guidance Could Boost Best-Interest ComplianceIndustry groups hope to keep state regulators from adding new ways to monitor firms and people.
September 17, 2025
FTC Takes Another Look at Non-CompetesThe agency has created a task force designed to identify anti-competitive agreements that affect the labor market.
September 10, 2025
State-Registered Investment Advisors, by the NumbersHere's a look at RIAs with $100 million or less under management.
August 27, 2025
Woman Sentenced to Nearly 19 Years for Scamming California InvestorsAlma Perez promised investors guaranteed, no-risk returns, said the state's attorney general.
August 22, 2025
Client of Scamming Ex-Advisor Accuses JPMorgan Chase of NegligenceScott Mason, of suburban Philadelphia, was sentenced to prison for draining millions from wealthy clients.