State Regulation

Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.

NASAA Votes to Restrict BDs' Use of 'Adviser,' 'Advisor'

April 09, 2025

NASAA Votes to Restrict BDs' Use of 'Adviser,' 'Advisor'
Fired Edward Jones Broker Charged With Fraud, Money Laundering in Alleged Theft From Widow

April 08, 2025

Fired Edward Jones Broker Charged With Fraud, Money Laundering in Alleged Theft From Widow
Life and Annuity Pros Need a Site Like BrokerCheck, Advocates Say

April 02, 2025

Life and Annuity Pros Need a Site Like BrokerCheck, Advocates Say
Robinhood Prediction-Markets Arm Gets Massachusetts Subpoena

March 28, 2025

Robinhood Prediction-Markets Arm Gets Massachusetts Subpoena
Hit by 777 Partners Woes, Annuity Issuer Faces Rehab Petition

March 26, 2025

Hit by 777 Partners Woes, Annuity Issuer Faces Rehab Petition
State Regulators to Congress: Please Kill Treasury's Insurance Office

March 25, 2025

State Regulators to Congress: Please Kill Treasury's Insurance Office
Barred Broker Charged in Alleged $1.24M Ponzi Scheme

March 25, 2025

Barred Broker Charged in Alleged $1.24M Ponzi Scheme