State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
FINRA Seeks to Rein In a Common Expungement Tactic
By Melanie WaddellFINRA believes straight-in expungements are problematic because they are granted at a higher rate.
July 28, 2022
House-Passed H.R. 3962 Would Ease Online NotarizationsThe bill could make completing some types of life and annuity transactions online simpler.
July 26, 2022
Kitces Raises Concerns With Colorado Financial Planning GuideXYPN is concerned that the guidance will prompt fee for service RIAs to move to AUM billing practices, even when it doesn't align with their services.
July 25, 2022
NASAA Wants to Align REIT Policy With Reg BIThe policy, which includes conduct standards for brokers selling non-traded REITs, hasn't been updated since 2007.
July 25, 2022
September Court Date Set for LPL Network Firm Employee Charged in Double MurderRamy Fahim was charged with killing a co-worker and his roommate; he could face the death penalty.
July 20, 2022
FBI Warns of Fake Crypto Apps Spoofing Financial InstitutionsThe FBI said that it has identified 244 victims and estimates the approximate loss associated with this activity to be $42.7 million.
July 19, 2022
California State Lawmaker Tries to Keep Insurance Legislators TalkingNCOIL President Ken Cooley could influence how the Golden State addresses long-term care financing.
July 18, 2022
State Lawmakers Question Insurer Life Policy Buyout OffersAt a national meeting, lawmakers also talked about resisting federal encroachment.