State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Raymond James to Pay $13M Over High Fees
By John ManganaroThe firm agreed to pay $4.5 million in fines to state regulators and to return $8.25 million plus interest to clients.
July 05, 2023
15 States Closing Retirement Savings Gaps With Auto-IRAsNine state programs are up and running; six are in various stages of development.
June 30, 2023
These State Tax Changes Kick In July 1Income, payroll and cannabis tax changes are among those taking effect in various states.
June 29, 2023
DBRS Morningstar Looks at What CLOs Could Do to AnnuitiesThe analysts think bundles of business loans will stay popular. An Equitable risk tracker has concerns.
June 28, 2023
Washington State Long-Term Care Insurance Program to Launch SaturdayCritics wonder whether WA Cares will provide enough of the right benefits to be useful.
June 28, 2023
Will State Auto-IRA Programs Become the Norm?Nineteen states now offer such programs, which are already having a positive effect on workers' ability to save for retirement.
June 26, 2023
12 Best States for Millennials to Live: 2023A new study from WalletHub shows where millennials are thriving and where they are struggling.
June 09, 2023
Ex-RBC, Ameriprise Broker Charged With Kidnapping Is Barred by FINRARBC fired Scott Matalon after he was arrested; the bar stems from a client complaint at Ameriprise.