State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NAIC May Leash Wild Annuity Performance Illustrations Quickly
By Allison BellA working group could start with a quick patch and then develop a longer-term response.
March 26, 2026
BD to Pay $600K Over Unapproved MessagingBTGI failed to reasonably supervise employees' use of unapproved communications platforms for business purposes, FINRA states.
March 26, 2026
The Cayman Islands' Reinsurance BoomA former insurance commissioner says the Caribbean jurisdiction needs U.S. regulators' attention.
March 24, 2026
12 Happiest U.S. Cities: 2026Americans are more satisfied in places with financial freedom, good relationships, overall health and basic conveniences, SmartAsset notes.
March 24, 2026
What Clients Should Know About Buying a Second HomeWhether they're looking for a residence or an investment, there are financing, tax and estate planning issues to consider.
March 20, 2026
Ex-Advisor, Radio Host Could Face Lengthy Prison Term for FraudBrooklynn Chandler Willy of Texas just pleaded guilty to six wire fraud and four related charges in a Ponzi scheme.
March 19, 2026
NAIC to Consider Open Meetings ChangesPeter Gould, an annuity owner activist, has been asking the insurance regulator group for more access.
March 18, 2026
Should Your Client Relocate in Retirement?It's important to look at the whole picture — financial and otherwise.