State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Ex-Edward Jones Broker Who Scammed Clients Permanently Blocked From Securities Business
By Jeff BermanRonald T. Molo was previously indicted for defrauding three investors out of about $800,000.
October 04, 2022
Will NASAA's REIT Plan Sync With Reg BI? — SEC RoundupAnya Coverman of the Institute for Portfolio Alternatives discusses the two competing models of regulating nontraded REITs.
September 30, 2022
SEC Smites Pastor of Fake Church Over Ponzi SchemeThe Church for the Healthy Self held no religious services but ran an investment program promising 12% returns.
September 28, 2022
Madoff Victims to Get $372M in New PaymentsThe eighth payment from the U.S. Justice Department's Madoff Victim Fund increases the total recovery to $4 billion.
September 23, 2022
6 Fraud Schemes That Were Busted by State RegulatorsNASAA's 2022 report highlighted frauds involving oil and gas, real estate and Match.com.
September 22, 2022
Life Groups Calls on States to Review Agent Exam DifficultyThe ACLI, NAIFA and Finseca are suggesting that some states' exams might be too hard.
September 21, 2022
Advisor Charged With Securities Fraud in Insider Trading SchemeAn advisor allegedly traded after a friend discussed a potential acquisition at the company he worked for.
September 21, 2022
NASAA Selects Andrew Hartnett as New PresidentHartnett, deputy administrator for securities for the Iowa Insurance Division, will serve a one-year term.