State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Big California Privacy Law to Hit Large BDs, Insurance Agencies
By Elizabeth Festa"Companies doing business with Californians, even those located outside California, may need to start planning to comply with the new law," warns Eversheds Sutherland.
October 25, 2018
Top 10 Least Tax-Friendly States in US: 2018From property to inheritance to booze, there's no shortage of opportunities for states to levy taxes, Kiplinger reports.
October 22, 2018
In States That Didn't Expand Medicaid, Voters Might Do It AnywayExpansions are in the ballot in Idaho, Nebraska, Montana and Utah.
October 18, 2018
New DOL Fiduciary Rule Coming Next Fall"The department is considering regulatory options in light of the 5th Circuit opinion," Labor's regulatory agenda states.
October 15, 2018
NASAA Warns of Marijuana-Related Crowdfunding ScamsCrowdfunding capital-raising model used to persuade potential investors to fund a marijuana business can be risky due to capitalization issues, NASAA warns
October 15, 2018
SEC Does Not 'Dictate' Cyber Controls, Cyber Chief SaysThe SEC is more focused on preparedness, cyber chief Robert Cohen said at a NASAA Cybersecurity Roundtable.
October 12, 2018
Bill to Ease Fed Oversight of Insurers Owning Banks Could Get Lame-Duck ReviewState Insurance Regulation Preservation Act will address "redundancy and inefficiency," said TIAA's Hodas.
October 12, 2018
State Enforcement Actions Spark Jump in Jail TimeState securities regulators brought enforcement actions last year resulting in 1,985 years of prison time and probation, a 47% increase over the prior year.