State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
New York Close to Fixing State's Charitable Gift Annuity Glitch
By Allison BellYour Empire State clients might have an easier time doing well by doing good.
June 29, 2023
DBRS Morningstar Looks at What CLOs Could Do to AnnuitiesThe analysts think bundles of business loans will stay popular. An Equitable risk tracker has concerns.
June 28, 2023
Washington State Long-Term Care Insurance Program to Launch SaturdayCritics wonder whether WA Cares will provide enough of the right benefits to be useful.
June 28, 2023
Will State Auto-IRA Programs Become the Norm?Nineteen states now offer such programs, which are already having a positive effect on workers' ability to save for retirement.
June 26, 2023
12 Best States for Millennials to Live: 2023A new study from WalletHub shows where millennials are thriving and where they are struggling.
June 09, 2023
Ex-RBC, Ameriprise Broker Charged With Kidnapping Is Barred by FINRARBC fired Scott Matalon after he was arrested; the bar stems from a client complaint at Ameriprise.
June 09, 2023
Connecticut Lawmakers Approve Historic Tax CutThe tax cut will benefit 1 million filers, or almost 60% of all filers, according to a statement from Governor Ned Lamont.
June 08, 2023
New York Regrets How It Regulated Long-Term Care Insurance RatesOfficials say they want to keep the issuers solvent and revive the LTCI market.