State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Goldman’s $500M Texas Expansion Takes Shape in Dallas
By Joe Lovinger, Scarlet Fu and Arielle SchwartzThe bank has big plans for relocations, pushing managers to leave spots like New York and London for Dallas and Salt Lake City.
August 12, 2025
Ex-Banker Convicted of Murdering BofA ExecAnthony Duwayne Turner was found guilty of murder, rape and burglary in Michelle Avan's slaying in Southern California.
August 12, 2025
Schwab Faces Cash Sweeps Suit Alleging Elder Financial AbuseThe complaint is among many accusing firms of paying unreasonably low interest on cash sweep balances.
August 12, 2025
Jury Hears Case of Ex-Banker Charged With Murdering BofA ExecAnthony Duwayne Turner was prosecuted for the alleged rape and killing of Michelle Avan, his former girlfriend.
August 11, 2025
Ex-Raymond James Advisor Charged With Assaulting ManagerDonald "Chris" Brannock is accused of attacking his wealth firm's managing director in Greensboro, North Carolina.
August 08, 2025
Trade Groups Rally Against New Jersey Indie Contractor RuleThe proposed regulation could reclassify independent financial advisors as employees of their broker-dealers.
August 05, 2025
Fidelity Brokerage Says Former VP Took Client InfoAdam Ritter is misusing confidential information to solicit customers to his new firm, a lawsuit alleges.
August 05, 2025
Reinsurance Fog Puts Life and Annuity Customers at Risk: Valmark CEOLarry Rybka wants state regulators to require issuers to provide detailed, public reports.