State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
House to Vote in Person Today on Loan Funding
By Melanie WaddellLawmakers will also vote to set up a committee to monitor how the Paycheck Protection Program loans are being distributed.
April 07, 2020
How California's Privacy Act Impacts AdvisorsAdvisors doing business in the Golden State should review the many tasks needed to protect client information this year and next.
April 03, 2020
On the Way: Stimulus Checks, Fourth Aid PackageSome paper checks may not reach recipients until mid-August.
April 03, 2020
3 Ways to Protect Investors' Access to Financial AdviceRegulation Best Interest needs to succeed, and regulation by enforcement needs to stop.
March 17, 2020
7 Facts About the New Variable Product Summary Prospectus RegsThe SEC has tried to give variable products sellers something nice to think about.
March 13, 2020
GMO's Grantham Sees a Silver Lining in Coronavirus CrisisThe legendary investor tells ThinkAdvisor how global trade, consumer behavior and the climate could ultimately benefit.
March 13, 2020
Trump Declares National Emergency Over Coronavirus; Markets ReboundThe declaration will "open up access to up to $50 billion"; the House says it will vote today on an aid bill.
February 21, 2020
Massachusetts Finalizes Fiduciary Rule; Consumer Group 'Disappointed' With ChangesThe rule, set to take effect in March, has been watered down from its original version, Barbara Roper says.