State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NAIC Developing Executive-Level Committee to Harmonize LTCI Rates
By Elizabeth FestaThe committee would try to establish a uniform practice for granting rate increases across states.
March 06, 2019
5 Ways 2020 Medigap Changes Are Driving States WildCompanies or persons that sell the wrong plans to the wrong people could go to prison for five years.
March 05, 2019
State Street Adds Another Fearless Girl Statue in LondonTwo years after Fearless Girl's debut, State Street touts its success in pushing companies to add female directors.
March 01, 2019
Nevada Oversteps Its Authority on Fiduciary Reg: Trade GroupsAdvocacy groups on all sides of the fiduciary debate offered constructive criticism of the rule.
March 01, 2019
Wells Fargo Consumer Redress Review BeginsThe program was created after a $575 million settlement was reached between Wells Fargo and the states.
February 22, 2019
Nevada Fiduciary Plan Has DOL Rule SimilaritiesThe state fiduciary plans are worrisome, former Labor official Phyllis Borzi tells ThinkAdvisor.
February 21, 2019
CFTC Compliance Branch Releases Its First-Ever Exam Priorities ListHere's what advisors and BDs registered as CTAs or commodity pool operators should prepare for.
February 19, 2019
10 Riskiest States for SeniorsSurprisingly, the top state on this list is a hot spot for retirees.