State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Massachusetts Regulator Finds Custody Infractions Among Switching Advisors
By Melanie WaddellAdvisors that switched will have to comply with "stricter" state custody rules and absorb the cost, the Massachusetts Securities Division says.
November 06, 2013
Sebelius gets a gift she probably doesn’t wantThe HHS secretary was less than amused.
November 01, 2013
You’re Outta Here: Big Jump in Advisors Barred by StatesFor the third consecutive year, private offerings were the products most often reported at the heart of state securities cases, NASAA said.
October 31, 2013
Treasury Offers Plug for Rollover ‘Leakage’ of PlansTreasury is gearing up to release guidance that would make it easier for plan sponsors to conduct rollovers to mitigate leakage.
October 31, 2013
Unclaimed property: Status quo prevailsPursue enforcement or leave it be: The continuing saga of unclaimed property.
October 31, 2013
California, Washington release exchange activity updatesActivity may be holding steady in California and accelerating in Washington state, officials say.
October 28, 2013
States post exchange activity dataCMS officials say they have more site numbers but don't release any.
October 25, 2013
Single Women Shopping for LTC Insurance Better Start NowThis spring, insurers started introducing new policies that charge single women between 40% and 60% more than their male counterparts, says AALTCI.