State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Top 8 News Stories of the Week
By Bernice NapachThis week's biggest news stories include trading accounts for teenagers and the naming of future CEO candidates for two big banks.
April 16, 2021
Robinhood Sues to Kill Fiduciary Rule in MassachusettsThe state said on Thursday it would seek to revoke Robinhood's license, according to Robinhood.
April 13, 2021
SEC, NASAA Issue Alerts on ESG InvestingRegulators are concerned that a lack of standards for ESG investing has led to policies and practices that can mislead investors.
April 05, 2021
N.Y.'s Millionaires Face Tax Hikes in Proposed BudgetThe richest New York City residents would pay the highest combined state and city tax rates in the U.S., surpassing California.
April 05, 2021
West Coast Is an Annuity-Suitability Update Desert: NAIC MapTexas is in the approval pipeline.
February 25, 2021
Latest Registration Rules in New York May Have Far-Reaching ImpactAdvisors working in or providing advice from the Empire State must comply.
February 10, 2021
'Roaring Kitty' Ordered to Testify in MassachusettsEx-MassMutual rep Gill is supposed to testify Feb. 26 before the Securities Division in Boston.
February 09, 2021
These 12 States Will Be the Poorest by 2025: AnalysisA business communications firm looked at trends in home values, income and GDP.