State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Don’t Fall Off a Compliance Cliff in 2013
By Les AbromovitzThe U.S. avoided one fiscal cliff, but without proper books and records, state- and SEC-registered investment advisors can teeter on a cliff of their own making. One advisory firm's cautionary tale.
January 17, 2013
HHS awards exchange establishment grantsCalifornia, Kentucky, Massachusetts, New York and Oregon have reached "Level Two."
January 15, 2013
Arizona governor to expand Medicaid programJan Brewer, a Republican, has surprised lawmakers in her state by deciding to take PPACA money.
January 15, 2013
Arizona governor to expand Medicaid programJan Brewer, a Republican, has surprised lawmakers in her state by deciding to take PPACA money.
January 14, 2013
Mali Islamists seize town amid French interventionThe French hope it will be a matter of weeks before formal control can be handed back to the Malian government.
January 11, 2013
Lewin Group reviews Medicaid expansion for New HampshireActing on the PPACA provisions could cut the number of uninsured by 24 percent, the consultants say.
January 11, 2013
Lewin Group reviews Medicaid expansion for New HampshireActing on the PPACA provisions could cut the number of uninsured by 24 percent, the consultants say.
January 10, 2013
2013: The Road AheadNASAA will keep a close eye on Congress' attempts to delay or derail Dodd-Frank regs, another round of JOBS act-related legislation and an SRO for advisors.