State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NASAA Clears Way for 5-Year Breaks From Industry, Adds Guam
By Melanie WaddellStates can now permit IARs to leave the industry for up to five years while maintaining qualifications.
April 06, 2023
Debate: Is the ACA Preventive Care Mandate Unconstitutional?Our tax experts discuss a federal judge's ruling on the Affordable Care Act preventive care mandate.
April 06, 2023
Robinhood Hit With $10M Fine Over Platform OutagesRegulators in seven states pushed for the settlement after numerous investors had trouble trading in March 2020.
April 05, 2023
3 States Make First Move Against Promos for AI InvestmentsPromoters "are trying to capitalize on the hype of artificial intelligence," said a regulator. "It's an absolute trap" for investors.
April 04, 2023
Next Hearing Set for Ex-Broker Charged With Murder of BofA-Merrill ExecAnthony Duwayne Turner's next court appearance for the killing of Michelle Avan in 2021 will take place on May 8.
April 03, 2023
12 States With the Highest Taxes in America: 2023Researchers for the list looked at taxation tied to real estate, vehicles, income, and the purchase of goods and services.
April 03, 2023
American College CEO to Lead Talk on Financial EducationThe panel will be part of a three-day diversity, equity and inclusion conference that started Sunday.
March 30, 2023
Cross Out More Ink Signature Requirements: IRI to NAICThe retirement services group says signing electronically should be the default.