State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
FINNY Launches Enterprise Platform
By Rob BurgessPresident Victoria Toli said the firm went live with Mercer Global Advisors, the inaugural flagship user, in January.
June 09, 2026
America's 10 Best Restaurants: 2026This year's list was compiled from the votes of a 300-member academy of regional restaurant industry experts.
June 08, 2026
Third of Gen Xers, Half of Millennials Rely on Parents Financially: StudyAdvisors agree that it's a common situation across the income spectrum.
June 08, 2026
LPL Faces Suit Over Clients' PHL Life and Annuity HoldingsThe plaintiffs say LPL advisors "intentionally left them in the dark" about the issuer's finances.
June 08, 2026
Carson Acquires $1.1B Osaic AffiliateMichael Belluomini, a Carson executive, said the firms had been in talks on the deal for almost a year.
June 08, 2026
Cetera Hit With Class-Action Suit Over Cash Sweep ProgramThe BD paid interest rates as low as 0.06% as the federal funds rate surged, the suit says.
June 04, 2026
Continental General Acquires More Lindberg Company PoliciesThe acquirer now is handling 151,000 products sold by Global Bankers affiliates.
June 04, 2026
After OBBBA, Some Wealthy Clients Have Estate Planning RegretsClients who rushed to give assets to children may be having second thoughts.