State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
A Sliver of NYC's Wealthy Has Unusual Rallying Cry: Tax Me More
By Nacha CattanA group that includes an ex-BlackRock managing director says rich residents can afford to pay more into city coffers.
March 05, 2026
Barred Advisor Charged With $3.3M Fraud Against LPL, Fidelity and TD AmeritradeA federal grand jury returned an 11-count indictment against Andrew Komarow.
March 05, 2026
Wells Fargo Free of Consent Orders for First Time in 15 YearsThe Federal Reserve said Thursday that it terminated the last one, which was issued in 2018.
March 04, 2026
Retired Teachers Win FINRA Fight With SchwabThirteen clients were awarded $3.8 million after claiming Schwab "concentrated their accounts in inappropriate holdings."
March 04, 2026
Ex-Morgan Stanley Advisor Convicted of Defrauding 3 NBA PlayersDarryl Cohen cheated the pro athletes out of more than $5 million, according to prosecutors.
March 03, 2026
Warren Presses SEC on 2025 Enforcement NumbersOfficial data has been "unreasonably delayed" as third-party analyses show a decline in activity, the senator says.
March 02, 2026
Firm Acquired by Mariner Alleges Fraud, Breach of ContractIn a lawsuit, James Hyre says Mariner broke promises of significant compensation and support after buying his Ohio firm.
February 27, 2026
12 Cities With the Highest Incomes Needed to Be Middle ClassThe local job market, housing market and infrastructure affect standards of living across the country, SmartAsset reports.