State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Even With Marriage Equality, LGBTQ+ Clients Have Planning Challenges
By Rob BurgessMany of these clients do not have children, advisors note, complicating retirement and estate planning.
June 16, 2026
Cresset Appoints Head of Family Office ServicesMark Tremblay, from Bessemer Trust, says regular advisors can take a page from a family office's holistic approach.
June 16, 2026
12 States Where Advisor Income Decreased the Most in 2025Of the 40 states with available data, SmartAsset reports, 12 states saw median advisor income decline year over year.
June 15, 2026
Which Comments on New Rules Get Read? Which Get Dropped? — SEC RoundupTwo professors discuss their paper revealing whose voices are codified into law and whose are quietly discarded.
June 15, 2026
New York Tax Preparer Sentenced in $50M Ponzi SchemeMiles Burton Marshall had pleaded guilty to grand larceny, securities fraud and scheme to defraud.
June 15, 2026
Gavin Newsom Rushes to Sink California Billionaire Tax Before June DeadlineThe state governor assured a major Democratic donor the levy would be successfully negotiated away before June 25.
June 12, 2026
Regulators Start Talks About Life and Annuity Wholesaler-Pay Disclosure RulesThe existing framework already covers this information, an Insured Retirement Institute executive told state regulators.
June 12, 2026
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Are More Life and Annuity Issuers Set to Merge?The Corebridge-Equitable deal has other CEOs thinking about additional M&As. Here's what a deal surge could mean for advisors and for the industry.