State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Governors express concern about FIO report
By Phil GusmanThe NGA expressed concern to Treasury Secretary Jacob Lew about the FIO's regulatory modernization report and its role in the larger state vs. federal regulation debate.
March 28, 2014
Exchange surge may varyVolume may have doubled nationally but dropped in some states.
March 27, 2014
Why the SEC Must Revise Its Proposed Reg A RuleThe SEC wants to transform Regulation A offerings into covered securities, which by law are not subject to state review. That's not what Congress intended.
March 26, 2014
Friedman: Senate Control Within GOP’s Reach, but Tea Party Could Weaken GraspRepublicans' prospects for retaking the Senate and White House could fade if the party tilts too far right, says Washington Update's Andy Friedman.
March 26, 2014
After DOMAAs more states recognize same-sex marriage, more financial advisors will need to become well versed in the new federal tax and benefit landscape.
March 26, 2014
After DOMAAs more states recognize same-sex marriage, more financial advisors will need to become well versed in the new federal tax and benefit landscape.
March 25, 2014
Nebraska rejects PPACA relief offerNebraska insurance director Bruce Ramge questions whether "transitional plans" have legal authority to operate.
March 25, 2014
Government Pension ‘Millionaires’ Outearn Private SectorA private-sector worker would need a 401(k) balance of $768,940 to match the retirement income of his public-sector counterpart, writes Andrew Biggs of AEI.