State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
N.Y.'s Millionaires Face Tax Hikes in Proposed Budget
By Keshia Clukey and Donna BorakThe richest New York City residents would pay the highest combined state and city tax rates in the U.S., surpassing California.
February 10, 2021
'Roaring Kitty' Ordered to Testify in MassachusettsEx-MassMutual rep Gill is supposed to testify Feb. 26 before the Securities Division in Boston.
February 09, 2021
These 12 States Will Be the Poorest by 2025: AnalysisA business communications firm looked at trends in home values, income and GDP.
February 09, 2021
Lawsuits Over GameStop Trading Expand Beyond Robinhood, Alleging an Antitrust Conspiracy"I'm kind of blown away at how big this could be," a lawyer says.
February 05, 2021
Lawsuit Alleges Broad Conspiracy on GameStop Trading RestrictionsInvestors are suing nearly three dozen defendants including Robinhood, Schwab, Apex Clearing and Citadel.
February 04, 2021
GPB Capital CEO, 2 Others Arrested in Scheme That Bilked 17,000 InvestorsThe SEC and seven state securities agencies also filed regulatory actions tied to the $1.7 billion scheme.
February 04, 2021
Creative Planning Strikes Its Biggest Deal to DateThe RIA has acquired the retirement division of Iron Financial, which has $6 billion in assets.
February 04, 2021
These 12 States Will Be the Richest by 2025: AnalysisA business communications firm looked at trends in home values, income and GDP.