State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
New Ownership Reporting Rules Probably Apply to Your Small-Business Clients
By Robert Bloink | William H. ByrnesOwners of existing businesses, including LLCs, must disclose ownership to FinCEN by Jan. 1.
February 08, 2024
Arraignment Set for LPL Network Firm Employee Charged With Double MurderRamy Fahim is accused of killing co-worker Griffin Cuomo and Cuomo's roommate, Jonathan Bahm.
February 05, 2024
Yes, Annuity Issuers Can FailHere are five things to think about when evaluating the companies backing the income guarantees.
February 01, 2024
Raymond James to Pay Fine in Oregon Over High CommissionsThe penalties and restitution come after the firm agreed to a $13 million multi-state settlement last year.
February 01, 2024
NCOIL Panel Creates Model for State Dental Loss Ratio LawsRegulators could use the NCOIL model to identify insurers that spend far less than others on care.
January 31, 2024
Policyholder Sues Northwestern Mutual Over Life and Disability PoliciesA man in Florida is attributing claim filing delays to incorrect information provided by the insurer.
January 31, 2024
Allianz Life Responds to Suit Involving Agent Oversight QuestionsThe company asserts that, under California law, an insurer is not a fiduciary for its insured.
January 30, 2024
What Vestwell's CEO Told World Leaders at DavosIt's not every day that a retirement industry executive is asked to speak at the World Economic Forum.