State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
5 Texas Annuity Bills to Watch
By Allison BellOne thing lawmakers there are thinking about: Efforts to mix insurance and politics.
May 04, 2023
Merrill to Pay $1.4M Over Cold CallingAdvisor trainees called numbers on do-not-call lists, according to New Hampshire regulators and FINRA.
May 04, 2023
NAIFA to Move HeadquartersThe agent and advisor group's new neighbors could include Politico and Raytheon.
May 04, 2023
Get Ahead of the California AB 567 Long-Term Care CurveA public state LTC program could help clients, or trap them.
May 03, 2023
$20M Securities Scam Targeted Church Members, DOJ, SEC SayThe scammer invoked his Christian faith and attributed his success to divine intervention, the SEC said.
May 01, 2023
Senate Notarization Bill Could Simplify Digital BusinessA California notary group worries it could increase the risk of identity theft.
May 01, 2023
Stifel Fined $2.5M Over Broker's Shady Trades for Seniors, ChurchStifel allowed a broker to reap excessive fees and commissions for years, Massachusetts regulators say.
April 21, 2023
Ex-Morgan Stanley, Schwab Broker Arrested on Child Porn ChargesRandall Kiefer has been charged with 21 counts related to child porn.