State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Fidelity Fined $1.7M for Lax Approval of Options Traders
By Melanie WaddellFINRA and the Massachusetts Securities Division fined Fidelity for "rubber-stamping" options trading applications.
September 25, 2023
NASAA Releases New Study Guides for Qualification ExamsThe materials aim to help financial professionals navigate the Series 63, 65 and 66 licensing exams, the group says.
September 25, 2023
Colorado Regulators Approve Life Insurance AI RulesThe new regulation will also affect any other use of external data and analytical tech.
September 22, 2023
Yes, Homeowners Insurance Is Your ConcernFor many high-net-worth clients, this has suddenly become the top financial headache.
September 12, 2023
10 States Where Annuity Sales Rules Still Look DifferentAny lingering conflicts between the states could help the SEC expand its reach.
September 08, 2023
Ex-Edward Jones Employee Alleges Abuse In Suit Against Firm, AdvisorThe advisor screamed at the employee repeatedly and made her cry, according to the lawsuit.
September 06, 2023
10 California Life, Health and Annuity Bills to WatchOne could affect how the SEC regulates annuities in your state.
September 06, 2023
10 States the Young and Wealthy Are Fleeing: 2023Here's where high earners age 26-35 are leaving faster than they can be replaced, according to SmartAsset.