State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NY Plans New Tax on City Homes Over $1M Bought With Cash
By Raga Justin, Danielle Muoio Dunn , Laura Nahmias and Nacha CattanThe levy is expected to raise $160 million to help fill the city's budget hole.
May 13, 2026
ReFirement: A Purposeful Next Chapter for AdvisorsNot retirement in the traditional sense, this approach offers a more selective, purposeful way to continue serving.
May 12, 2026
10 Hottest U.S. Housing Markets: 2026In these locales, a Zillow report finds, demand for homes outstrips the number of homes for sale.
May 11, 2026
Widow Wins $1.2M From UBS Over Annuity, Margin LoanThe advisor's recommendations and management style resulted in the client "essentially breaking even" over 11 years, her lawyer says.
May 11, 2026
Dynasty Investment Bank Marks Third Anniversary With 'M&A May'While dealmaking continues, firms are "taking a more disciplined approach to inorganic growth," bank co-head Harris Baltch says.
May 08, 2026
Ex-LPL RIA Employee Was Sane When He Killed Two Men, Jury FindsRamy Hany Mounir Fahim will be sentenced to life in prison without parole, a prosecutor says.
May 05, 2026
Suit Claims Morgan Stanley, Advisor Aided Financial Abuse of Former BNY ExecThe wirehouse enabled Joseph A. Grimaldi's son to raid his assets, his widow and daughter allege.
April 30, 2026
California's Wealth Tax Plan Fuels UHNW Anxiety"You've got the golden geese," a tax lawyer tells ThinkAdvisor, "but these geese have wings."