State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Offering Multiple Product Versions May Discriminate, N.Y. Official Warns
By Allison BellAdrienne Harris, the state's superintendent, said insurers have to make their product menus fair.
July 12, 2023
New Pretrial Hearing Set for Ex-Broker Charged With Murder of BofA-Merrill ExecThe next pretrial conference for Anthony Duwayne Turner, charged with killing Michelle Avan, is scheduled for Aug. 21.
July 11, 2023
Raymond James to Pay $13M Over High FeesThe firm agreed to pay $4.5 million in fines to state regulators and to return $8.25 million plus interest to clients.
July 10, 2023
New York Close to Fixing State's Charitable Gift Annuity GlitchYour Empire State clients might have an easier time doing well by doing good.
July 07, 2023
California Replaces a Trust Investment LawThe update could make managing the assets in clients' trusts more flexible.
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.