State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
SEC, FINRA, NASAA Launch Senior Safe Act Training Program
By Melanie WaddellThe program can be used for training on how to detect, prevent and report financial exploitation of senior and vulnerable adult investors.
June 02, 2021
SBA Closes PPP Loan ProgramWhile the PPP had its problems, clients who used it found it beneficial, planner Leon LaBrecque said.
May 27, 2021
Judge Leaves Fate of Mass. Fiduciary Rule Unclear in Robinhood CaseBut the judge allowed the state's case against the brokerage to proceed.
May 21, 2021
Top 8 News Stories of the WeekThis week's biggest news stories include trading accounts for teenagers and the naming of future CEO candidates for two big banks.
May 12, 2021
DOL Withdrawal of Independent Contractor Rule Threatens Indie Advisor Business Model: FSIDOL's decision to withdraw the rule stands to increase costs for advisors and their firms, FSI's David Bellaire tells ThinkAdvisor.
April 30, 2021
Barred Long Island Broker Charged in Pre-IPO Share ScamThe broker and his partner allegedly took $436,000 from investors who thought they were buying shares of Peloton, WeWork or Airbnb.
April 16, 2021
Robinhood Sues to Kill Fiduciary Rule in MassachusettsThe state said on Thursday it would seek to revoke Robinhood's license, according to Robinhood.
April 13, 2021
SEC, NASAA Issue Alerts on ESG InvestingRegulators are concerned that a lack of standards for ESG investing has led to policies and practices that can mislead investors.