State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Voters Return 3 State Insurance Commissioners to Office
By Allison BellMassachusetts voters have set a minimum loss ratio for dental insurance.
October 28, 2022
Trump Tax Prosecutors Say Ex-CFO Has Stopped Meeting With ThemAllen Weisselberg, star witness in the criminal tax fraud case against the Trump Organization, is no longer meeting with prosecutors. P
October 27, 2022
Pitchfork-Wielding Climate Activists Protest at BlackRock HeadquartersProtesters reportedly dumped coal on an escalator; police arrested 10 people.
October 27, 2022
3 State Insurance Ballot Measures to WatchOne could lead to some clients getting dental insurance premium refunds.
October 25, 2022
Top State Court Revives New York Annuity Sales StandardsThe new ruling hinges on the meaning of terms such as "recommendation" and "best interest."
October 24, 2022
Ex-MassMutual Broker Pleads Guilty to Defrauding ClientsThe barred broker used a client's funds to pay down his own debt and for personal travel.
October 21, 2022
Advisor Who Tried to Flee Prosecution Pleads Guilty to Defrauding ClientsSteven Xigoros was arrested at the Newark airport while trying to board a flight to Greece in September.
October 12, 2022
Ex-RIA Comptroller in Father-Daughter Ponzi Scheme Gets 6-Year SentenceThe former comptroller's father, an ex-Securities America broker, was previously sentenced to 13 years in prison.