State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
State Street Ending No-Layoff Pledge in 2021
By Bernice NapachIts pledge not to cut jobs because of the pandemic "will go away" next year, says CEO Ron O'Hanley.
December 07, 2020
Goldman Plans to Move Asset Managers From New York to This StateThe deliberations at the Wall Street icon, often a trendsetter for the industry, are aimed at cutting costs.
December 04, 2020
Draft Suitability Guide Could Shape How States Regulate Annuity SalesArizona, Iowa and Rhode Island have already adopted the NAIC's model update. Commenters, including Michael Kitces, speak up.
December 04, 2020
Illinois Insurance Director to Leave Post: Personnel MovesPrincipal, Anthem, Oscar, FamilyWealth and GoHealth also have personnel moves announcements.
December 03, 2020
10 Worst State COVID-19 Death Rates, From a Leaked Government ReportAn advocacy group posts the closely held 50-state version of a recent White House Coronavirus Task Force report.
December 01, 2020
Delaware Floats 'Best Interest' Rule for Annuity SalesLike rules adopted by Arizona, Iowa and Rhode Island, Delaware's proposal would align with the SEC's Regulation Best Interest.
November 30, 2020
NASAA Adopts Rule on CE Credits for Investment AdvisorsThe group's model rule requires IARs to take 12 hours of continuing education each year.
November 25, 2020
12 Best States for the Middle ClassSmartAsset rates the states on factors such as homeownership, job growth and income levels.