State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
N.J. Regulator Orders BlockFi to Stop Opening New Accounts
By Bernice NapachThe New Jersey Bureau of Securities says the crypto firm's BlockFi Interest Accounts are unregistered securities.
July 06, 2021
South Carolina Moves to Stop Elder Financial AbuseThe legislation, supported by LPL Financial, is based on NASAA's Model Act of 2016.
July 06, 2021
FINRA Bars Ex-Broker Whose Assistant Took CE Classes for HimThe former HTK rep testified that he "blindly forwarded" emails about the training to his assistant due to heavy sales demands.
June 16, 2021
SEC, FINRA, NASAA Launch Senior Safe Act Training ProgramThe program can be used for training on how to detect, prevent and report financial exploitation of senior and vulnerable adult investors.
June 04, 2021
Why SEC Actions Against CCOs Could Boost Bad BehaviorAnxiety around personal liability is leading CCOs to pull back from their firms or find other jobs, according to the New York Bar Association.
June 03, 2021
Dually Registered Firm Must Pay SEC $1.2M Over 12b-1 FeesCentaurus Financial breached its duty to seek best execution, the SEC said.
June 02, 2021
SBA Closes PPP Loan ProgramWhile the PPP had its problems, clients who used it found it beneficial, planner Leon LaBrecque said.
May 27, 2021
Judge Leaves Fate of Mass. Fiduciary Rule Unclear in Robinhood CaseBut the judge allowed the state's case against the brokerage to proceed.