State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Cause of Death Found for Wells Fargo Employee Who Died at Desk
By Dinah Wisenberg BrinThe body of Denise Prudhomme, 61, was discovered days after she'd scanned into the office.
October 18, 2024
Fidelity, Russell and SEI Quizzed by DOJ as Ken Leech Probe Ramps UpMoney managers that used Western Asset Management to help invest their bond portfolios are being questioned by authorities.
October 16, 2024
State Tax Ballot Measures to Watch in NovemberTax questions on income, property, capital gains and more are up for votes on Election Day.
October 15, 2024
U.S. Needs Bermuda to Boost Annuity Supply, Regulators SayConference speakers emphasized the big capital hole left by years of low interest rates.
October 10, 2024
TD Fined $3.1B, Hit With Asset Cap Over Money LaunderingThe news follow Toronto-Dominion Bank's guilty plea over its failure to prevent money laundering by drug cartels and other criminals.
October 07, 2024
Stifel Must Pay Clients Over $14M in Structured Notes Case: FINRA PanelThe award includes $9 million in punitive damages.
October 03, 2024
Regulators Eye Rules for 600% Long-Term Care Insurance Rate IncreasesInsurers point to block solvency. Texas is talking about fairness to policyholders.
October 01, 2024
Texas Stock Exchange Names Nasdaq, NYSE Veterans to Top JobsThe Texas Stock Exchange also hired veterans of the SEC and Schwab.