State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
13 States With Income Tax Cuts in 2024
By Michael S. FischerThe reductions continue a trend of significant changes following the pandemic, according to the Tax Foundation.
December 29, 2023
When Is the Right Time to Ask Clients About Writing a Will?A new report finds context matters a lot when it comes to this basic step in legacy planning.
December 19, 2023
Genworth Sued Over Notice Sent to Insured With Cognitive ImpairmentThe plaintiff asserts that use of a benefits change form amounted to financial abuse of an elder.
December 18, 2023
BlackRock Sued by Tennessee Over 'Misleading' ESG StrategyThe lawsuit is the first by a GOP official against an investment firm for its ESG strategy.
December 18, 2023
10 Worst Financial Advisors in America: 2023While most advisors make clients' lives better, others stand accused of financial crimes — and worse.
December 05, 2023
Insurers Responsible for Vendors' AIs: StatesIn a new bulletin, regulators warn that using other firms' emerging tech is no excuse for bad behavior.
December 05, 2023
Ex-Schwab Employee Alleges Racial, Religious DiscriminationAmong other contentions, the ex-employee says Schwab failed to accommodate his religiously required vegan diet.
November 30, 2023
How Life Insurance Policy Reviews Trip Up Fiduciary AdvisorsThe potential liability for financial professionals who fail to meet their duties of due diligence can be significant.