State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
California Advisor Charged With Child Porn Possession
By Dinah Wisenberg BrinThe advisor pleaded not guilty on Thursday.
July 10, 2024
New Jersey Opens Auto-IRA ProgramParticipation is mandatory for established employers with at least 25 workers and no retirement plan.
July 08, 2024
Genworth Sues Trustee Over Life Insurance Claim DelaysThe insurer wants to avoid having to pay 6% interest on the death benefits for more than 60 days.
June 27, 2024
Battle Flares Over Long-Term Care Insurance Rate Hike RulesThe insureds are watching, angrily. The insurers say issuer solvency has to come first.
June 21, 2024
Trial Date Set for Ex-Broker Charged With BofA Exec's MurderA jury trial for Anthony Duwayne Turner, accused of killing Michelle Avan, is scheduled to start Sept. 9.
June 20, 2024
Fugitive Ex-Advisor Who Appeared on CNBC Arrested on Fraud ChargesJames Arthur McDonald Jr. allegedly lost over $30 million, then solicited millions from investors for a purported capital raise.
June 18, 2024
We Have Regulators Too, Bermuda's Insurers SayThe companies' trade group points out that their home has rigorous oversight standards, and taxes.
June 10, 2024
California Could Curb Private Equity Health DealsOne question is whether efforts to impose new restrictions could spread to other sectors.