State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
New York Proposes Cybersecurity Rule Update
By Allison BellRequirements may ease for former insurance brokers but tighten for big companies.
November 09, 2022
Voters Return 3 State Insurance Commissioners to OfficeMassachusetts voters have set a minimum loss ratio for dental insurance.
October 31, 2022
Barred Broker Sentenced to 5 Years for Fraud That Shuttered Life Insurance FirmThe ex-broker scammed a life insurance company that was his client, leading it to be forced into liquidation.
October 31, 2022
Ex-Broker Sentenced to 20 Years in Prison Over Ponzi SchemePerry Santillo's 20-year sentence will run concurrently with a 17.5-year sentence he already faces.
October 28, 2022
Trump Tax Prosecutors Say Ex-CFO Has Stopped Meeting With ThemAllen Weisselberg, star witness in the criminal tax fraud case against the Trump Organization, is no longer meeting with prosecutors. P
October 27, 2022
Pitchfork-Wielding Climate Activists Protest at BlackRock HeadquartersProtesters reportedly dumped coal on an escalator; police arrested 10 people.
October 27, 2022
3 State Insurance Ballot Measures to WatchOne could lead to some clients getting dental insurance premium refunds.
October 25, 2022
Top State Court Revives New York Annuity Sales StandardsThe new ruling hinges on the meaning of terms such as "recommendation" and "best interest."