State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Stifel Named in Civil Case Against Advisor Charged With Strangling Girlfriend
By Jeff BermanThe firm neglected its duty of care to the girlfriend, who was a client, according to the lawsuit.
October 02, 2023
Colorado Puts Annuity Data Regulation in PlayThe state's requirements could have a big effect on how all financial services regulators approach AI and machine learning.
October 02, 2023
Chase Bank Customers Report Account Glitches, AgainChase customers reported account issues, including trouble with debit card transactions.
October 02, 2023
Fidelity Fined $1.7M for Lax Approval of Options TradersFINRA and the Massachusetts Securities Division fined Fidelity for "rubber-stamping" options trading applications.
September 28, 2023
What Colorado's New Data Regulations Could Mean for Insurers, AgentsA Faegre Drinker partner emphasizes that the regs will affect more than AI.
September 25, 2023
Bill Could Limit Treasury Unit's Ability to Probe InsurersThe Federal Insurance Office would have to first try to get data from public sources or other agencies.
September 25, 2023
NASAA Releases New Study Guides for Qualification ExamsThe materials aim to help financial professionals navigate the Series 63, 65 and 66 licensing exams, the group says.
September 25, 2023
Colorado Regulators Approve Life Insurance AI RulesThe new regulation will also affect any other use of external data and analytical tech.