State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Election 2010, States: GOP Gains Governorships; Prop 24 Defeated in California
By James J. Green, Joyce HansonAdvisors and their clients may have focused on Congressional races, but the voting results present some interesting developments on the state level.
October 28, 2010
At Schwab Impact, Condoleezza Rice Addresses Political, Financial Issues"Today's headlines and history's judgment are rarely the same," Condoleezza Rice said Thursday evening to a receptive audience at Schwab Impact 2010 in Boston.
October 27, 2010
PPACA, State-by-State: A Q&A with Arkansas Insurance Commissioner Jay BradfordAs part of a regular series featuring interviews with state regulators, Bradford discusses his state's challenges and hopes when it comes to health care reform
October 20, 2010
The Big Switch Affects Schwab AdvisorsOne of the major effects of the Dodd-Frank law is that RIA firms with less than $100 million in AUM will switch from SEC registration to state oversight.
October 06, 2010
The State Perspective: Massey on the New Form ADV Part IINASAA recommends that states that have adopted the Form ADV for use in the investment advisor registration process and for disclosure purposes should begin using the new Part 2 according to a specific schedule.
October 01, 2010
BofA Delays Foreclosures in 23 StatesThe Associated Press is reporting Bank of America is not yet able to estimate how many homeowners cases will be affected.
September 23, 2010
New rules make it harder to cheat MedicareNew regulations aimed at curbing fraud related to the Medicare and Medicaid programs, which amounts to $55 billion annually, have just been revealed.
September 23, 2010
PPACA: What is a Child?An Affordable Care Act provision will extend access to dependent health coverage to children up to age 26, but the provision does not define the word "child."