State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Florida’s DeSantis Pushes Unusual Plan to Abolish Property Taxes
By Anna J. KaiserThe proposal would require a constitutional amendment and overhauls of both state and local government budgets.
February 05, 2025
Annuity Regulators Should Look Harder at Cayman Islands, CEO of Athene's Parent SaysAthene rivals are hollowing out capital by moving business through entities based there, Apollo CEO Marc Rowan contends.
January 31, 2025
Advisor Pleads Guilty to Taking $17M From Clients, Including His AuntScott Mason, former Rubicon Wealth Management president, could face up to 80 years in prison.
January 31, 2025
Investors Hit Fidelity With FINRA Claim Over Advisor Accused of Losing $11MFidelity missed red flags when an advisor made risky trades on its platform, according to an arbitration claim.
January 30, 2025
FINRA Fines, Suspends Another NY Broker Accused of CE CheatingThe broker is among dozens who've been disciplined over findings that someone else completed their continuing education requirements.
January 27, 2025
Appeals Court Sides With Equitable in NY Universal Life CaseSurrendering a policy affects whether the owner can collect damages, the top New York court says.
January 22, 2025
This Ohio Regulator Will Help Shape How U.S. Annuity Sales Rules Really WorkJudith French is in charge of the suitability rule update meant to mesh with the SEC's Regulation Best Interest.
January 08, 2025
Edward Jones to Pay $17M Over Front-Load CommissionsThe firm charged some clients when moving A shares from brokerage to advisory accounts, 14 state regulators found.