State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
ReFirement: A Purposeful Next Chapter for Advisors
By Kathleen M. RehlNot retirement in the traditional sense, this approach offers a more selective, purposeful way to continue serving.
May 11, 2026
Dynasty Investment Bank Marks Third Anniversary With 'M&A May'While dealmaking continues, firms are "taking a more disciplined approach to inorganic growth," bank co-head Harris Baltch says.
May 08, 2026
Ex-LPL RIA Employee Was Sane When He Killed Two Men, Jury FindsRamy Hany Mounir Fahim will be sentenced to life in prison without parole, a prosecutor says.
May 05, 2026
Suit Claims Morgan Stanley, Advisor Aided Financial Abuse of Former BNY ExecThe wirehouse enabled Joseph A. Grimaldi's son to raid his assets, his widow and daughter allege.
April 30, 2026
California's Wealth Tax Plan Fuels UHNW Anxiety"You've got the golden geese," a tax lawyer tells ThinkAdvisor, "but these geese have wings."
April 30, 2026
12 Best-Value Small Colleges and Universities: 2026Researchers analyzed more than 1,000 schools, public and private, with 5,000 students or fewer.
April 29, 2026
What a Secure 3.0 Act Could Look LikePolitical momentum is building for a federally run IRA program.
April 29, 2026
Judge Enters Final Order in 'Dr. Cash' Ponzi SchemeAn unregistered advisor serving three years in prison must pay $1.7 million related to a fictitious investment fund.