State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
State Regulators Look for Annuity Suitability Enforcement Ideas
By Allison BellA working group has been drafting a call for advice about training and systems.
March 10, 2026
NASAA Launches CE Course Catalog for IARsThe new catalog provides a centralized platform to browse NASAA-approved IAR CE courses.
March 09, 2026
12 Cities Where $400,000 Can Buy the Most Living SpaceAn openness to different locations can have a large influence on how much house buyers can afford, PropertyShark reports.
March 06, 2026
A Sliver of NYC's Wealthy Has Unusual Rallying Cry: Tax Me MoreA group that includes an ex-BlackRock managing director says rich residents can afford to pay more into city coffers.
March 06, 2026
10 Most Expensive States for Long-Term Care: 2025The median cost for one type of care fell last year, according to CareScout's survey of thousands of providers.
March 05, 2026
What Might Happen When an Annuity Issuer Fails Now?A notice aimed at Colorado Bankers Life customers shows how guaranty associations are handling one liquidation.
March 05, 2026
Barred Advisor Charged With $3.3M Fraud Against LPL, Fidelity and TD AmeritradeA federal grand jury returned an 11-count indictment against Andrew Komarow.
March 05, 2026
Wells Fargo Free of Consent Orders for First Time in 15 YearsThe Federal Reserve said Thursday that it terminated the last one, which was issued in 2018.