State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Minnesota Government Shuts Down
By John SullivanThe Minnesota government began shutting down on Friday after lawmakers failed on Thursday to to reach a budget agreement before a midnight deadline. It is the second time such a shutdown has occurred in six years.
June 21, 2011
Why House Bills on June 22 Would Weaken Investor Protection: NASAA's ConcernsHouse Financial Services Committee is scheduled to mark up two bills: one exempting private equity fund advisors from SEC registration, the other on Reg A expansion.
June 20, 2011
ASPPA Asks DOL to Delay Fiduciary Fee Disclosure Reg's ImplementationThe American Society of Pension Professionals & Actuaries and the Council of Independent Recordkeepers are asking the Department of Labor to delay the effective date for the proposed fiduciary fee disclosure regulation.
June 19, 2011
ASPPA Asks DOL to Delay Fiduciary Fee Disclosure Reg's ImplementationThe American Society of Pension Professionals & Actuaries and the Council of Independent Recordkeepers are asking the Department of Labor to delay the effective date for the proposed fiduciary fee disclosure regulation.
June 16, 2011
IIPRC Adds Alabama, NevadaThe Interstate Insurance Product Regulation Commission has signed up two more states and now represents a total of 40 jurisdictions.
June 16, 2011
IIPRC Adds Alabama, NevadaThe Interstate Insurance Product Regulation Commission has signed up two more states and now represents a total of 40 jurisdictions.
June 14, 2011
Tale of Shale: States' Growth Story in Moribund EconomyShale oil brings jobs, independence and stock returns in otherwise moribund economy.
June 13, 2011
Best & Worst States for Economic GrowthNorth Dakota tops list of 2010 GDP gainers, while Wyoming is at bottom of Commerce Department survey, with several surprises in between.