State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Regulators End Effort to Develop Long-Term Care Hybrid Rules
By Allison BellSome officials say current regulations appear to be working well.
December 01, 2022
Florida to Pull $2B of Assets From BlackRockIt's the latest move in a fight led by Governor Ron DeSantis against firms embracing environmental, social and corporate governance values.
November 30, 2022
BlackRock's Fink: Most Crypto Firms Will Fold"I actually believe most of the companies are not going to be around," the CEO said Wednesday during the New York Times DealBook Summit.
November 29, 2022
SEC Bars Ex-LPL Rep Who Pleaded Guilty to Witness TamperingFINRA already barred the ex-broker, who also pleaded guilty to fraud and identity theft last year.
November 29, 2022
BlackRock, UBS Ask to Be Removed From Texas' Energy Boycott ListFirms on the list may struggle to win underwriting work from issuers of municipal debt and to gain access to some retirement systems.
November 15, 2022
New York Proposes Cybersecurity Rule UpdateRequirements may ease for former insurance brokers but tighten for big companies.
November 12, 2022
Ex-Broker Pleads Guilty To Stealing $500K From ClientsJennifer Campbell, 47, faces a maximum penalty of 20 years in prison and a $250,000 fine.
November 10, 2022
States May Get Tougher on Health Insurance MarketersAgent groups want the NAIC to focus on lead generators. Consumer reps have different ideas.