State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Illinois Insurance Director to Leave Post: Personnel Moves
By Allison BellPrincipal, Anthem, Oscar, FamilyWealth and GoHealth also have personnel moves announcements.
November 30, 2020
NASAA Adopts Rule on CE Credits for Investment AdvisorsThe group's model rule requires IARs to take 12 hours of continuing education each year.
November 25, 2020
12 Best States for the Middle ClassSmartAsset rates the states on factors such as homeownership, job growth and income levels.
November 20, 2020
Morgan Stanley Fires Brokers Over Legacy Account PaymentsThe firings involve a program allowing departing brokers to split fees and commissions with the reps who inherit their accounts.
November 19, 2020
Kamala Harris' Former Policy Chief Gives Peek Into New White House PrioritiesDaniel Suvor, who worked with Harris in California, discusses what he expects to see on the next White House's to-do list.
November 10, 2020
50 States of New Data for the Third Wave of COVID-19Mortality is looking a little worse in much of the country, and a lot worse in Wyoming.
November 09, 2020
SEC Alert Flags 'Multi-Branch' RisksExaminers observed that the branch office model "may pose certain risk factors."
November 07, 2020
Biden Wins U.S. Presidency After Bitter Contest With TrumpIf Republicans hold the Senate, Biden's plans for tax hikes on the wealthy and corporations could be stymied.