State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Morgan Stanley Fires Brokers Over Legacy Account Payments
By Jeff BermanThe firings involve a program allowing departing brokers to split fees and commissions with the reps who inherit their accounts.
November 09, 2020
SEC Alert Flags 'Multi-Branch' RisksExaminers observed that the branch office model "may pose certain risk factors."
November 07, 2020
Biden Wins U.S. Presidency After Bitter Contest With TrumpIf Republicans hold the Senate, Biden's plans for tax hikes on the wealthy and corporations could be stymied.
November 06, 2020
Remote Workers May Get a Surprise at Tax Time: AICPASeven in 10 workers are unaware that working remotely in other states can affect the amount of state taxes owed, the CPA group found.
November 03, 2020
2020 Election Predictions: Carville, Valliere, Friedman Weigh InWill the election outcome come quickly or drag on? What about the Senate and House races? Which states are still up for grabs?
November 02, 2020
Yes, We Could Get Some Certainty on Election NightTwo key swing states could report the bulk of their vote counts, and if Trump loses them, it's likely over, BNY Mellon's deputy CIO says.
October 30, 2020
Should Compliance Officers Be Held Personally Liable? SEC's Peirce Weighs InToo much liability could discourage talented people from working in compliance, the SEC commissioner says.
October 23, 2020
More States Moving to Adopt NAIC Model Annuity RuleThe model rule, adopted by NAIC in February, incorporates a best-interest standard of conduct and aligns with Reg BI.