State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Jury Hears Case of Ex-Banker Charged With Murdering BofA Exec
By Dinah Wisenberg BrinAnthony Duwayne Turner was prosecuted for the alleged rape and killing of Michelle Avan, his former girlfriend.
August 05, 2025
Fidelity Brokerage Says Former VP Took Client InfoAdam Ritter is misusing confidential information to solicit customers to his new firm, a lawsuit alleges.
August 05, 2025
Reinsurance Fog Puts Life and Annuity Customers at Risk: Valmark CEOLarry Rybka wants state regulators to require issuers to provide detailed, public reports.
August 04, 2025
4 Years After BofA Exec's Killing, Ex-Banker Charged With Her Murder Stands TrialThe trial of Anthony Duwayne Turner, who could face the death penalty if convicted, is in its fourth week.
August 04, 2025
Under Trump's New Tax Law, Here's What to Know About SALT Cap WorkaroundThe workaround, available in most states, is still highly relevant for high-income taxpayers.
July 31, 2025
Ex-LPL Rep Sentenced to 6 Years in Prison for Taking $1M from Elderly ClientInvestigators found Bradley Goodbred took over $1 million from a woman over nine years, prosecutors said.
July 30, 2025
States Could Keep Annuity Issuers From Posting Risk ScoresSome regulators maintain that risk-based capital ratios should be for their eyes only.
July 30, 2025
Are Annuity Buyers Gaming the System?Retirement researchers Michael Finke and David Blanchett find there are ways to maximize the value of state protections.