State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Roland|Criss Named Registrar for New Fiduciary Standard for Charities
By Michael S. FischerAs charitable organizations face a new set of fiduciary requirements, Roland|Criss has been appointed registrar of a recently published fiduciary conduct guide for foundations and endowments.
May 05, 2011
CBO: Politics May Favor Deferred CompPolitical pressure to shift to deferred compensation arrangements may be distorting the current discussions about public employee retirement plans, according to officials at the Congressional Budget Office.
May 01, 2011
The Polar BearsI don’t usually write about politics, except when it has a direct impact on financial advice, and this appears to be one of those times.
April 28, 2011
In Securities America Case, States and NASAA Dispute Limits on LawsuitsMassachusetts, Montana and NASAA took action on Thursday to prevent any restrictions on lawsuits associated with two private-placement sales by Securities America, which was put up for sale by Ameriprise Financial on Monday.
April 26, 2011
The Missing Link: a Fiduciary Standard and Harmonizing BD RegsIs extending a fiduciary standard to all advice givers compatible with harmonizing regulation of brokers and investment advisors?
April 07, 2011
New York Insurance Dept. Tightens StandardsSuitability and senior designation standards for the sale of investment products have been tightened by the New York Insurance Department under new regulations finalized last month.
April 07, 2011
New York Insurance Dept. Tightens StandardsSuitability and senior designation standards for the sale of investment products have been tightened by the New York Insurance Department under new regulations finalized last month.