State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Fidelity's $2.5M Data Breach Settlement: What Clients Should Know
By Dinah Wisenberg BrinPayments to eligible investors are expected to be $100; those who can prove monetary losses can collect more.
May 15, 2026
Integrated Partners Adds $850M City Square Wealth ManagementThe firm now boasts $25 billion in assets under advisement, according to its president, Andree Mohr.
May 14, 2026
Newsom Pitches Software Tax to Raise Billions in New RevenueThe plan could raise $1.1 billion in state and local tax revenue in the upcoming budget year.
May 14, 2026
Corient Acquires $7.8B Capital AdvisorsThe firm's principals will become Corient partners upon closing, expected later this quarter.
May 14, 2026
Ted Cruz Says Trump Accounts Could Replace Social Security. Retirement Pros Are Skeptical.Consultant Marcia Mantell said she was "livid" at the idea. But advisors' clients have long worried about trust fund solvency.
May 14, 2026
NY Plans New Tax on City Homes Over $1M Bought With CashThe levy is expected to raise $160 million to help fill the city's budget hole.
May 14, 2026
Americans Are Most Financially Burdened in These 12 StatesResidents in some locations, SmartAsset reports, may be contending with high costs, weaker incomes and heavier debt loads.
May 13, 2026
Ex-LPL RIA Employee Sentenced to Life in Prison for Murdering Co-Worker, RoommateRamy Hany Mounir's Fahim's sentence includes no possibility of parole.