State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Continental General Acquires More Lindberg Company Policies
By Allison BellThe acquirer now is handling 151,000 products sold by Global Bankers affiliates.
June 03, 2026
Will Your Client Get That Tax Break? This Number Is the KeyUnlike most working clients, retirees have some control over their taxable income if they've planned properly.
June 03, 2026
Two Democrats Lead in California Insurance Commissioner PrimaryOne has focused on property insurance; the other has introduced a health broker pay bill.
June 03, 2026
Modern Wealth Acquires $1.1B Flaharty Asset ManagementStaying small is risky in today's RIA market, Modern Wealth President Jason Gordo says.
June 03, 2026
Number of RIAs Sets New Record: ReportWhile the number of RIAs grew in 2025, the regulatory environment is shifting under the SEC.
June 02, 2026
Why Tax Planning Is a Must-Have for Business Clients"You can't do the investment side without looking at the tax side," Threadline Wealth CEO Justin Fisher tells ThinkAdvisor.
June 02, 2026
Bluespring Wealth Launches RIABluespring Wealth Management is intended to be a centralized model to handle compliance and other functions, Pradeep Jayaraman says.
June 01, 2026
Ex-Stifel Rep Settled Complaints, Failed to Tell Firm: FINRAJennifer Basey paid a married couple more than $1,300 over stock losses and a commission charge, an order states.