State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Illinois House Approves Austere Spending Limits
By Christopher Wills, Associated PressThe spending plan calls for slashing the Medicaid budget by 14%.
March 29, 2012
5 Problems With Domestic Asset Protection TrustsDAPTs are seen by some as a more palatable alternative than offshore structures with a similar purpose, but estate planning experts question whether this is the case.
March 26, 2012
The Good and Bad of Fiduciary DelayOn Sept. 19, 2011, the Department of Labor (DOL) withdrew proposed regulations that would have updated and expanded the definition of advisors who are considered fiduciaries to a retirement plan.
March 26, 2012
Compelling DynamicsTechnological innovation has played a prime role in America’s economic success, and current developments in oil and natural gas drilling techniques…
March 23, 2012
JOBS Act Is Dangerously Flawed Product of a Rush to LegislateCongress and the White House are sacrificing investor protection for politics and are in danger of repeating a legislative mistake that has allowed promoters of fraudulent securities offerings to steal millions of dollars from investors since 1996.
March 23, 2012
CFP Board’s Keller Says New ‘Top Cop’ Will Beef Up InvestigationsKeller tells AdvisorOne that Rex Staples, the former general counsel for NASAA who will start his new post on April 9, will help build our capacity to achieve our mission of benefiting the public.
March 22, 2012
HHS Questions 71% of the Rate Hikes ReviewedFederal regulators have had jurisdiction over 61 of the 186 notices of double-digit health premium increases.
March 22, 2012
HHS Questions 71% of the Rate Hikes ReviewedFederal regulators have had jurisdiction over 61 of the 186 notices of double-digit health premium increases.