State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Remote Workers May Get a Surprise at Tax Time: AICPA
By Michael S. FischerSeven in 10 workers are unaware that working remotely in other states can affect the amount of state taxes owed, the CPA group found.
October 30, 2020
Should Compliance Officers Be Held Personally Liable? SEC's Peirce Weighs InToo much liability could discourage talented people from working in compliance, the SEC commissioner says.
October 23, 2020
More States Moving to Adopt NAIC Model Annuity RuleThe model rule, adopted by NAIC in February, incorporates a best-interest standard of conduct and aligns with Reg BI.
October 22, 2020
Political Heavyweights Rove, Axelrod Weigh In on Election"It's an uphill fight" for Trump, but "I wouldn't rule him out," Karl Rove says.
October 19, 2020
50 States of Data for the Third Wave of COVID-19Dynata's survey program suggests that the infection rate is rising for college-age people in many states.
October 12, 2020
XYPN Rules Out Supreme Court Challenge to Reg BIXYPN has retained industry lobbyist Duane Thompson to help push for state-level fiduciary rules.
September 29, 2020
50 States of New Summer COVID-19 Wave Death Data, Plus D.C.Our latest college and university dashboard suggests that careful schools may be getting the virus under control.
September 28, 2020
State Securities Regulators See Spike in Unregistered Advisor CasesNearly 30 jurisdictions have enacted rules or legislation based on NASAA's model rule to help prevent financial exploitation of older investors.