State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
BofA Accused of Aiding Elder Financial Abuse
By Dinah Wisenberg BrinA woman with a Merrill account claims scammers took $690,000 from her after she visited a California branch of the bank.
October 24, 2023
These 11 States Require Financial Ed to Graduate High SchoolMore states are on track to follow suit, an advocacy group says.
October 23, 2023
Massachusetts Doubles Estate Tax ExemptionYet the state is still "one of the most expensive places to die," Ed Slott says.
October 23, 2023
Could RILAs, Pension Risk Transfers Squeeze Life Insurers in a Crisis?Insurance regulators wonder if liquidity stress tests should consider more potential sources of pain.
October 20, 2023
Texas to Vote on Wealth Tax Ban in NovemberVoters will decide on a constitional amendment banning wealth taxation at the state level.
October 19, 2023
New York Life Faces Suit Over Record RequestsThe plaintiff contends that New York Life set conditions that are impossible to fulfill.
October 17, 2023
Regulators, Groups Fight Over AI Rule FitInsurers want some stretch. New York wants insurers to run specific types of statistical tests.
October 17, 2023
Clients Sue Chase Over $1M in Missing CD FundsA mother and son contend they never received mailed checks from Chase totaling nearly $1.2 million.