State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
7 Long-Term Care Program Ideas for Taxphobic Times
By Allison BellMinnesota asked experts about one LTC proposal and sparked brainstorming.
February 22, 2023
SEC Calls for Proceedings Against Imprisoned Ex-BrokerThe former broker was convicted of defrauding the oldest Black-owned insurance company in the U.S.
February 14, 2023
Next Hearing Set for LPL Network Firm Employee Charged in Double MurderThe next hearing for Ramy Fahim has been scheduled for June 2.
February 07, 2023
Regulators Warn of Self-Directed IRA RisksSelf-directed IRA investors are on their own in following rules and avoiding risky investments, Ed Slott says.
February 06, 2023
Ex-Wells Fargo Advisor Alleged Rape by Co-Worker, Faced Retaliation: LawsuitThe advisor sued Wells Fargo, saying her clients were reassigned after she reported the incident.
February 02, 2023
Why Wealth Taxes Have Always Been a Terrible IdeaA 1% or 2% wealth tax may sound small, but it's actually very large compared with current tax rates.
February 01, 2023
Fight to Rename 'Medicare Advantage' Gets New PushRep. Mark Pocan, D-Wis., and two House colleagues are promoting the position that "only Medicare is Medicare."
January 30, 2023
Next Hearing Set for Suspect in BofA-Merrill Exec's KillingEx-Merrill broker Anthony Duwayne Turner's next hearing will be held Feb. 15.