State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
U.S. Needs Bermuda to Boost Annuity Supply, Regulators Say
By Allison BellConference speakers emphasized the big capital hole left by years of low interest rates.
October 03, 2024
Regulators Eye Rules for 600% Long-Term Care Insurance Rate IncreasesInsurers point to block solvency. Texas is talking about fairness to policyholders.
October 01, 2024
Texas Stock Exchange Names Nasdaq, NYSE Veterans to Top JobsThe Texas Stock Exchange also hired veterans of the SEC and Schwab.
September 30, 2024
TIAA Retail Customer Data Exposed in Vendor BreachData for close to 9,000 TIAA and TIAA-CREF Life customers was exposed, the firm said.
September 26, 2024
Fired BNY Advisor Claims Age DiscriminationThe advisor says a manager made ageist remarks and dismissed him despite his consistently strong performance.
September 25, 2024
Vanguard Reaches Proposed Settlement in Target-Date Sell-Off CaseThe lawsuit alleged that the asset manager triggered a "stampede" that handed certain retail customers massive tax bills.
September 23, 2024
JPMorgan Sued Over 'Shockingly' Low Interest on Client CashThe case follows several other proposed class actions over brokerages' cash sweep programs.
September 18, 2024
EF Hutton Says Its Fired CEO Stole MillionsA lawsuit alleges Joseph Rallo used firm money for lavish personal expenses, including IV drips to treat hangovers.