State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
MassMutual Under Investigation Over 'Roaring Kitty'
By Jeff BermanMassachusetts regulators are "looking into whether or not MassMutual should have been aware" of its ex-advisor's activities.
February 01, 2021
How Ace Stock Picker John Buckingham Reacted to GameStop SqueezeThe longtime value investor tells ThinkAdvisor some of his 2021 stock picks and discusses why he's optimistic now.
January 29, 2021
'Roaring Kitty' Who's Pushing GameStop Is a Financial AdvisorThe former MassMutual rep played a key role in driving retail investors to pile into the game retailer's stock.
January 26, 2021
Direct Relief for State and Local Governments: Bloink and Byrnes Go Thumb to ThumbTwo professors debate whether these governments should get aid in the next stimulus package.
January 22, 2021
Texas Broker Charged With Child Sexual Assault, IndecencySA Stone Wealth Management broker also was charged with an indecent assault on a female adult, according to court records.
January 20, 2021
SEC Expected to Shift Focus to Advisors, BDs Under BidenThe SEC under Gensler will shift priorities away from retail investor fraud toward the conduct of institutions, securities lawyers predict.
January 14, 2021
Biden Seeks $1.9T for Relief in First Economic PlanCovid-19 package focuses on vaccines, includes raising the minimum wage to $15 an hour.
January 13, 2021
Trump Is Impeached Again, Faces Senate Trial on Riot at CapitolThe historic 232-197 House vote makes Trump the only U.S. president to be impeached twice. It was supported by all Democrats and 10 Republicans, including Liz Cheney.