State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Apollo CEO Calls for Tougher Annuity Issuer Capital Rules
By Allison BellMarc Rowan warned that "regulatory arbitrage" could lead to issuer failures.
August 03, 2026
PRO
Don't Let These Retirement Planning Blind Spots Surprise Your ClientsStress-testing a retirement plan can help alleviate the points of failure that many clients overlook.
August 03, 2026
RIA to Pay Nearly $500K for Overcharging ClientsPapamarkou Wellner Asset Management's client fees didn't match its advisory agreements or disclosure brochures, according to the SEC.
August 03, 2026
10 States With the Biggest Jumps in Wage InequalityThe top 10% of earners are pulling farther ahead of the median in these states, according to SmartAsset.
August 03, 2026
Robert Rodriguez Bets It All on Anything but StocksThe value investor is prioritizing three asset classes, he tells ThinkAdvisor.
July 31, 2026
Near-Retirees Fear Running Out of Time to Travel, Not Money: SurveyAdvisors can help clients make the most of their healthy years to enjoy trips without depleting savings.
July 30, 2026
New Research Challenges 4% Rule With Hybrid ApproachPartial annuitization combined with market exposure outperforms other scenarios, a study suggests.
July 30, 2026
Long-Term Care Insurance Premiums FallThe cost of benefits linked to a life insurance policy is holding steady, according to a new AALTCI report.