State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
4 Years After BofA Exec's Killing, Ex-Banker Charged With Her Murder Stands Trial
By Dinah Wisenberg BrinThe trial of Anthony Duwayne Turner, who could face the death penalty if convicted, is in its fourth week.
July 30, 2025
States Could Keep Annuity Issuers From Posting Risk ScoresSome regulators maintain that risk-based capital ratios should be for their eyes only.
July 30, 2025
Are Annuity Buyers Gaming the System?Retirement researchers Michael Finke and David Blanchett find there are ways to maximize the value of state protections.
July 30, 2025
LPL Underpaid Employees, Lawsuit ClaimsAn LPL support specialist alleges the firm short-changes employees on sick pay, overtime and expense reimbursement.
July 30, 2025
NASAA Seeks to Loosen State Rules on TestimonialsUnlike the SEC's Marketing Rule, NASAA model rules explicitly prohibit testimonials, endorsements and third-party ratings.
July 29, 2025
Carson Group Says Ex-CMO Altered Evidence in LawsuitA lawyer for the former executive, Mary Kate Gulick, disputed the accusations.
July 29, 2025
Blackstone Exec Killed in Manhattan ShootingWesley LePatner, who ran the firm’s $53 billion real estate fund for wealthy individuals, died Monday.
July 28, 2025
Small-Business Owners Aren't Claiming 401(k) Startup Credits. What Gives?A new analysis shows only about 5.5% of “apparently eligible” firms claim the credit.