State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Orion, Flourish Expand Integration for Held-Away Cash Visibility
By Rob BurgessThe move supports advisor-client conversations around cash-flow planning, distributions, excess cash management, Orion exec Trent Mumma says.
May 18, 2026
Fidelity's $2.5M Data Breach Settlement: What Clients Should KnowPayments to eligible investors are expected to be $100; those who can prove monetary losses can collect more.
May 18, 2026
12 Best States for Military Retirees: 2026Considerations in transitioning to civilian life include economic environment, quality of life and healthcare, WalletHub reports.
May 15, 2026
When Clients Start an 'Encore Career' in RetirementThere are tax implications of starting a new business later in life instead of slowing down, experts say.
May 15, 2026
Integrated Partners Adds $850M City Square Wealth ManagementThe firm now boasts $25 billion in assets under advisement, according to its president, Andree Mohr.
May 14, 2026
Newsom Pitches Software Tax to Raise Billions in New RevenueThe plan could raise $1.1 billion in state and local tax revenue in the upcoming budget year.
May 14, 2026
Corient Acquires $7.8B Capital AdvisorsThe firm's principals will become Corient partners upon closing, expected later this quarter.
May 14, 2026
Ted Cruz Says Trump Accounts Could Replace Social Security. Retirement Pros Are Skeptical.Consultant Marcia Mantell said she was "livid" at the idea. But advisors' clients have long worried about trust fund solvency.