State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
State Regulators OK Annuity Disclosure Model Overhaul Project
By Allison BellThe project could change what annuity sellers and advisors hand to clients.
August 13, 2026
Merit Adds $900M Firm From CommonwealthThe Bridgeway Group is the sixth team to join Merit from the Commonwealth platform since LPL announced its acquisition last year.
August 12, 2026
Life Insurance Needs a Market Conduct Standards Supplement, Consumer Rep SaysRichard Weber says one reason is to avoid bringing on the kinds of tax changes made in 1988.
August 12, 2026
Why Client Interest in Trusts Is SoaringIt's up sevenfold over the past decade, a study of calls to lawyers found. Advisors are getting more trust questions too.
August 12, 2026
A Drastic Move to Save Big on Roth ConversionsMoving to Florida can lessen the tax hit of this RMD-reduction strategy, but it comes with other costs.
August 12, 2026
CogniCor Adds Beacon Pointe Chair to Advisory BoardShannon Eusey will advise the California-based enterprise AI platform on its strategic planning and growth initiatives.
August 12, 2026
For a Successful Gray Marriage, Plan for the End at the Beginning"Young couples think love will conquer all," an attorney says, "but gray couples realize careful planning conquers all."
August 11, 2026
PRO
How UHNW Clients Can Brace for a Potential California Wealth TaxAdvisors offer guidance on what to do if a one-time 5% wealth tax passes.