State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
12 Best U.S. Cities for Retirement: 2026
By Michael S. FischerWalletHub ranked 182 cities on affordability, activities, quality of life and healthcare.
August 27, 2026
Ex-Advisor Sentenced to Nearly 6 Years for Wire Fraud, Identity TheftDean Dellas defrauded a 61-year-old man and his 91-year-old mother, according to a parallel civil complaint.
August 26, 2026
PRO
This Trust Shields Client Assets From Lawsuits, but Is It Worth It?High-net-worth clients may find Cook Islands Trusts attractive, but there are high costs and domestic alternatives.
August 25, 2026
New Bill Would Prevent Double Taxation of Remote WorkersThe Multi-State Worker Tax Fairness Act restricts states' ability to tax nonresident telecommuters.
August 24, 2026
Ex-Fidelity Advisor Sentenced to Nearly 7 Years for Stealing $2M From Elderly ClientEric James Stone befriended a 75-year-old woman and used her money on gambling websites, DOJ says.
August 24, 2026
Kestra Appoints New Head of Wealth ManagementAfter 13 years at BlackRock, Kelly Apple replaces John Amore, who had been promoted to president.
August 21, 2026
PRO
AI Rules for Advisors Aren't Here Yet. The Compliance Risks Are.Advisors should expect regulators to scrutinize their AI use under existing rules.
August 21, 2026
Two Texans Convicted in Ponzi Scheme Tied to Ex-San Antonio AdvisorThe trio, prosecutors say, conspired to mislead the victims concerning the security of the investments and concealed their high commissions.