State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Securities Regulators Find Enforcement Actions by States Surged 51% in 2010
By Melanie WaddellNASAA released findings of a report on Oct.19 that found a 51% increase in the number of enforcement actions by state securities regulators in 2010
October 17, 2011
Nothing to See Here, Move AlongWhen does callous indifference become good risk management? A recent case in China of a hit-and-run involving a toddler has the country wondering where it has gone wrong. Any American could tell them: liability.
October 17, 2011
Wisconsin Governor Broke Campaign Pension Promise (AP)Wisconsin Gov. Scott Walker, who forced public workers to pay more for their pensions as part of a push to curb union rights, broke his campaign promise to pay the full cost of his state pension immediately after taking office in January.
October 14, 2011
Slew of Advisor Violations Found by State RegulatorsA series of coordinated exams of 825 investment advisors by 45 state and provincial securities examiners between Jan. 1 through June 30 of this year uncovered 3,543 deficiencies in 13 compliance areas.
October 10, 2011
Broken Budgets and Double Dippers (AP)A review by The Associated Press found tens of thousands of state and public school employees across the country drawing government salaries along with their pensions.
October 10, 2011
Broken Budgets and Double Dippers (AP)A review by The Associated Press found tens of thousands of state and public school employees across the country drawing government salaries along with their pensions.
October 07, 2011
HHS Sees Full Speed Ahead for State ExchangesHHS is beefing up its efforts on helping states figure out state exchanges, and will be offering help, resources and guidance as they try and meet Janury 2013 deadline
October 04, 2011
No RAAs for You, ComradeI don't care what California says. I still think RAAs are a good idea.