State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Surgeon Says Morgan Stanley Mismanaged His Retirement Account
By Melanie WaddellHe and his wife are seeking several million dollars in a lawsuit, alleging professional negligence and financial elder abuse.
March 12, 2026
Ex-Advisor Accused of Racism in TikTok Video Must Pay LPL Over $820KEileen Cure had sued the BD for $95 million after it ended an affiliation with her.
March 11, 2026
12 States With the Highest Average Retirement SavingsAmericans have about a year's worth of their current annual income saved in tax-advantaged accounts, SmartAsset reports.
March 11, 2026
State Regulators Look for Annuity Suitability Enforcement IdeasA working group has been drafting a call for advice about training and systems.
March 11, 2026
Judge Orders SEC to Hand Over Texting Fine DataLawyer Nick Morgan called the ruling a "win for transparency and a stinging rebuke of the SEC's litigation conduct."
March 11, 2026
12 Cities Where a $100,000 Salary Buys the LeastWhen taxes and cost of living are considered, this amount doesn't go far in many places, SmartAsset finds.
March 10, 2026
NASAA Launches CE Course Catalog for IARsThe new catalog provides a centralized platform to browse NASAA-approved IAR CE courses.
March 09, 2026
12 Cities Where $400,000 Can Buy the Most Living SpaceAn openness to different locations can have a large influence on how much house buyers can afford, PropertyShark reports.