State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
10 States With the Highest Super Earner Cutoffs
By Allison BellTo rank in the top 5%, households in these states had to make a minimum of $465,000.
September 13, 2022
TD Ameritrade, BofA Among 4 Firms Sued Over Biometric Voice PrintsFour separate complaints allege the firms violated the California Invasion of Privacy Act.
September 09, 2022
Ex-LPL Rep Pleads Guilty to Witness Tampering, FraudThe barred broker pleaded guilty to fraud and identity theft last year but scrapped the plea deal.
September 05, 2022
More States Adopt Advisor CE RequirementsWhile many jurisdictions have adopted rules similar to the NASAA model rule, rules vary from state to state.
September 01, 2022
Regulators Draft Language for Hot New AnnuitiesThe new definitions could start shaping index-linked variable annuity products in April.
August 26, 2022
9 Lessons From John Hancock's $26M LTCI SettlementLong-term care insurance is complicated and policyholders need professional guidance, LTCI specialists say.
August 25, 2022
Policyholder Sues Pru Over Implementation of 100% LTCI Rate HikePrudential points to a policy provision authorizing it to increase premiums.
August 25, 2022
GOP Fury Over ESG Triggers Backlash With U.S. Pensions at RiskThe move by Florida's governor to ban state pension funds from ESG screening endangers some Americans' retirement savings, investment professionals say. .