State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
IRI Asks Maine to Adopt Standard Best-Interest Regs
By Allison BellThe group says it also wants states to adopt a standard version of NAIC model update guidance.
January 05, 2021
Arkansas Adopts NAIC Annuity Model Best Interest UpdateArkansas agents and brokers will have six months to begin complying with the new rules.
January 04, 2021
Ex-Rep Sues Morgan Stanley Over Deferred CompA broker says the firm wrongly withheld more than $500,000 from him when he left.
December 22, 2020
SEC Adopts New Ad Rule, Allows Client TestimonialsForm ADV was also amended to require advisors to provide more information on their marketing practices.
December 18, 2020
5 States With the Biggest Q3 Drops in Personal IncomePersonal income fell in every state in the quarter ended Sept. 30, according to the Commerce Department.
December 17, 2020
SEC Fines Robinhood $65M for Misleading Investors, Best Execution FailuresThe fine comes a day after Massachusetts regulators charged the brokerage over its marketing practices.
December 16, 2020
Robinhood Slammed for Marketing Tactics, Outages in State Fiduciary Rule CaseThe state also cited Robinhood's high rate of approval of options trading for inexperienced investors. The firm denies the charges.
December 10, 2020
Supreme Court Sides With States in Drug Benefits RulingThe justices held that Arkansas can set payment rules that affect ERISA plans' pharmacy benefits managers.