State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
California to Fine Employers Who Spurn CalSavers Auto-IRA
By Melanie WaddellEmployers without a retirement plan and more than 100 employees could be penalized $250 per employee.
January 10, 2022
4 Top Threats Facing Investors in 2022These are the most problematic products, practices and schemes, according to state regulators.
January 04, 2022
Precious Metals Firm Ordered to Pay $6M Over Hidden CommissionsThe firm and its founder allegedly solicited millions in investments while fraudulently charging commissions as high as 33%.
January 04, 2022
Morgan Stanley to Pay $60M Over Data BreachesThe firm allegedly failed to wipe client data from computer equipment it decommissioned and resold.
December 21, 2021
Ex-OppenheimerFunds Analyst Pleads Guilty to Securities FraudThe New York funds analyst had been accused of misappropriating confidential info on pending trades by his employer.
December 20, 2021
FINRA Upholds Bar of Ex-Broker Caught Cheating on Series 24 ExamThe ex-broker and compliance officer for a firm in Texas allegedly wrote test information on his driver's license, fingers and forearm.
December 20, 2021
Washington State Delays Long-Term Care Program LaunchThe governor says the delay will give lawmakers time to improve the program.
December 15, 2021
Ex-Ameriprise Rep Who Defrauded Retirees Gets 14 Years in PrisonThe former broker scammed clients out of over $12 million as part of a real estate investment scheme.