State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Raymond James CEO Opposes State Fiduciary Standards
By Emily ZulzPaul Reilly explained how regulatory pressures—and state fiduciary laws in particular—are advisors' biggest concerns.
April 17, 2019
New Jersey, Nevada Likely to Pass Fiduciary Rules: AttorneyUnlike the rule that was defeated in Maryland, the New Jersey proposal "doesn't need votes, per se," a lawyer says.
April 09, 2019
States Probe PBMs Over PricingOfficials in Connecticut, Georgia, Kentucky and Ohio are wondering where the money went.
April 08, 2019
Appeals Court Shuts Out Pro-ACA Brief to Keep a Judge in the MixA new judge on the court comes from the law firm that had developed the brief.
April 08, 2019
SEC's Own 'Best Interest' Regs Might Ban Sales Commissions: Legal AnalystDouglas Schmidt told the NAIC a judge would likely find that the standard has a plain meaning.
March 28, 2019
Trump Can't Let States Make Medicaid Recipients Work: Federal JudgeAn Arkansas work requirement pushed about 18,000 Medicaid recipients out of the program between August and December.
March 20, 2019
Business Roundtable Calls for National Privacy Law; Trims Economic OutlookEighty percent of roundtable members said it was at least "somewhat" important for Congress to enact such a law.
March 18, 2019
Nevada Fiduciary Rule Would Scare Off Morgan Stanley, TD AmeritradeThe two firms say they would have to stop serving brokerage customers in the state if the rule is adopted as written.